SOX Governance Office IT Controls Manager

Vanguard’s Internal Audit & SOX department has an opportunity for a SOX IT Controls Manager within the SOX (Sarbanes Oxley) Governance Office (SOX GO). SOX GO’s mission is to maintain the best-in-class SOX program designed to achieve SOX compliance for Vanguard, while supporting business teams in the optimization of their financial reporting control environment. In this role you will support IT SOX Control Owners through Certifications, Optimization of processes, and Remediation efforts (COR) – all while growing SOX and IT expertise, building relationships, and enhancing  IT controls experience. You will also partner closely with SOX GO Testing colleagues to develop  IT risk mitigation strategies in collaboration with key stakeholders in Finance, Enterprise Risk Management, Information Technology, Global Risk and Security Divisions, external audit, and other business leaders across the enterprise. Additionally, this role will play an integral part in developing risk mitigation strategies for new system implementations and platform adoptions across the enterprise. We seek individuals who can think critically and conceptually, have excellent project management, relationship management, communication, influence, judgement, and decision-making skills.

Responsibilities for this role include:

• Managing IT controls-based projects of varying scope and complexity to enable a robust, sustainable SOX-compliant financial reporting process.
• Engaging with IT control owners and stakeholders regarding the identification and effective design of new (and optimization of existing) IT control processes; includes documenting end-to-end process/data flows and identifying/understanding relevant financial statement risks.
• Establishing and maintaining professional, working relationships with IT control owners and stakeholders; serving as a key point-of-contact for IT control-related questions and concerns.
• Assessing the severity of IT control exceptions and diagnosing root causes; assisting with substantive impact assessments; consulting with IT control owners regarding effective control remediation efforts and evaluating implementation success; providing insights regarding control exception themes/observations and assisting with related internal and external dashboarding/reporting.
• Collaborating with SOX Testing colleagues, Internal Audit, and Risk counterparts to advance SOX campaign progress, and engaging with external audit in various capacities throughout the SOX campaign lifecycle.
• Maintaining awareness of risk and control topics; seeking to understand broad industry and Vanguard trends regarding risk and controls and determining applicability to the operation.
• Participating in special projects and performing other duties as assigned.

What it takes:

• Bachelor’s Degree or equivalent in a business-related or IT-related field of concentration or equivalent combination of training and experience; professional certification or advanced degree (e.g., CPA, CISA, CISSP, CIA) is preferred.
• Minimum of five years related work experience with knowledge of SOX concepts, practices and procedures, and IT subject-matter proficiency (i.e., IT logical access, change management, and operations); audit experience within public accounting and/or internal audit is a plus.
• Experience with controls, audit, or risk (i.e.,  IT controls testing, internal audits, operational audits, advisory/consulting/compliance) within the financial services industry, corporate finance functions, or risk management highly preferred.
• Experience testing, designing, or evaluating workflows preferred.
• Strong analytical, problem identification, and problem-solving skills. 
• Excellent communication skills with the ability to interact with all levels of personnel.

Special Factors:

Vanguard is not offering visa sponsorship for this position.

This position is hybrid and would require you to be local to our Chesterbrook, PA office.

Special Factors

Sponsorship

Vanguard is not offering visa sponsorship for this position.

About Vanguard

We are Vanguard. Together, we’re changing the way the world invests.

For us, investing doesn’t just end in value. It starts with values. Because when you invest with courage, when you invest with clarity, and when you invest with care, you can get so much more in return. We invest with purpose – and that’s how we’ve become a global market leader. Here, we grow by doing the right thing for the people we serve. And so can you.

We want to make success accessible to everyone. This is our opportunity. Let’s make it count.

Inclusion Statement

Vanguard’s continued commitment to diversity and inclusion is firmly rooted in our culture. Every decision we make to best serve our clients, crew (internally employees are referred to as crew), and communities is guided by one simple statement: “Do the right thing.”

We believe that a critical aspect of doing the right thing requires building diverse, inclusive, and highly effective teams of individuals who are as unique as the clients they serve. We empower our crew to contribute their distinct strengths to achieving Vanguard’s core purpose through our values.

When all crew members feel valued and included, our ability to collaborate and innovate is amplified, and we are united in delivering on Vanguard’s core purpose.

Our core purpose: To take a stand for all investors, to treat them fairly, and to give them the best chance for investment success.

How We Work

Vanguard has implemented a hybrid working model for the majority of our crew members, designed to capture the benefits of enhanced flexibility while enabling in-person learning, collaboration, and connection. We believe our mission-driven and highly collaborative culture is a critical enabler to support long-term client outcomes and enrich the employee experience.