Business Controls Oversight, Senior Specialist
Vanguard, Scottsdale, AZ, United States
Responsibilities
Stand up and lead a new oversight function for the organization, including defining scope, priorities, and operating model.
Design, document, implement, and maintain controls, monitoring, and oversight routines aligned to regulatory, supervisory, and enterprise risk expectations.
Design and implement risk assessment processes, develop reporting frameworks for control effectiveness, and establish regular review protocols to ensure ongoing compliance.
Partner closely with front‑line leaders, risk partners, legal/compliance, and operations to ensure controls are practical, effective, and embedded in day‑to‑day execution.
Facilitate cross‑functional collaboration to ensure consistency and effectiveness of control activities.
Own and maintain written supervisory procedures, control documentation, and issue tracking, ensuring clarity, consistency, and audit readiness.
Identify trends, risks, and gaps through monitoring and data analysis, and translate insights into actionable recommendations for leadership.
Support regulatory exams, audits, and internal reviews by coordinating responses, tracking, and driving timely remediation.
Act as a trusted advisor to business leaders—balancing strong risk discipline with a deep understanding of how the business operates.
Qualifications
Minimum of eight years related work experience.
Undergraduate degree or equivalent combination of training and experience. Graduate degree preferred.
Experience in business controls, risk management, supervision, or compliance within a financial services or regulated environment.
Strong understanding of first line of defense responsibilities and how to partner effectively with second line risk teams.
Proven ability to design, document, and operationalize controls in complex organizations.
Strong data and analytical skills preferred.
Excellent judgment, communication, and stakeholder management skills.
Comfort operating in ambiguous, build‑mode environments where structure and clarity need to be created.
Ability to work independently while driving outcomes through collaboration and influence.
Sponsorship
Vanguard is not offering visa sponsorship for this position.
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Stand up and lead a new oversight function for the organization, including defining scope, priorities, and operating model.
Design, document, implement, and maintain controls, monitoring, and oversight routines aligned to regulatory, supervisory, and enterprise risk expectations.
Design and implement risk assessment processes, develop reporting frameworks for control effectiveness, and establish regular review protocols to ensure ongoing compliance.
Partner closely with front‑line leaders, risk partners, legal/compliance, and operations to ensure controls are practical, effective, and embedded in day‑to‑day execution.
Facilitate cross‑functional collaboration to ensure consistency and effectiveness of control activities.
Own and maintain written supervisory procedures, control documentation, and issue tracking, ensuring clarity, consistency, and audit readiness.
Identify trends, risks, and gaps through monitoring and data analysis, and translate insights into actionable recommendations for leadership.
Support regulatory exams, audits, and internal reviews by coordinating responses, tracking, and driving timely remediation.
Act as a trusted advisor to business leaders—balancing strong risk discipline with a deep understanding of how the business operates.
Qualifications
Minimum of eight years related work experience.
Undergraduate degree or equivalent combination of training and experience. Graduate degree preferred.
Experience in business controls, risk management, supervision, or compliance within a financial services or regulated environment.
Strong understanding of first line of defense responsibilities and how to partner effectively with second line risk teams.
Proven ability to design, document, and operationalize controls in complex organizations.
Strong data and analytical skills preferred.
Excellent judgment, communication, and stakeholder management skills.
Comfort operating in ambiguous, build‑mode environments where structure and clarity need to be created.
Ability to work independently while driving outcomes through collaboration and influence.
Sponsorship
Vanguard is not offering visa sponsorship for this position.
#J-18808-Ljbffr