Director, Assurance & Control

Director, Assurance & Control

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locations

Charlotte, NC

Malvern, PA

time type

Full time

posted on

job requisition id

182129

Overview Are you passionate about shaping the future of Vanguard’s Personal Wealth business? We are seeking a highly motivated and risk-minded professional to play a pivotal role in evaluating and enabling innovative digital tools and investment products across the Personal Wealth Division .

In this role, you will be at the forefront of the business, partnering with leaders, product teams, and risk experts to bring new investment wealth m anagement capabilities to life for both clients and advisors. You will assess emerging products and technologies, identify and evaluate risks, and influence the design of effective controls that enable innovation while protecting the business and our clients.

As a trusted partner, you will influence the product lifecycle, helping shape business processes, challenge assumptions, and embed strong risk management practices from the earliest stages of development through implementation and adoption. Your expertise will directly influence decisions and help position our business for success and future growth.

You will work closely with business and technology stakeholders, second-line risk teams, and subject matter experts to drive thoughtful and practical solutions to balance risk and business outcomes . Through your leadership and effective challenge, you will build a strong foundation of controls and proactively address risks before they become problems.

This role is ideal for someone who thrives in a dynamic environment, enjoys solving complex problems, and wants to make a visible impact by enabling innovation responsibly. If you are energized by helping shape the next generation of products and services for our clients, we want to hear from you.

What You'll Bring

• Exceptional l eadership competencies , including a track record of driving outcomes and deve loping people

• Excellent communication, stakeholder management, and problem-solving skills.

• The ability to influence and challenge constructively across all levels of the organization.

• Experience partnering with business, technology, and risk teams to deliver complex initiatives.

• Strong expertise in risk identification, assessment, and control design.

• A passion for balancing innovation, client experience, and risk management.

Core Responsibilities:

• Leadership: Hire, evaluate, and supervise crew, providing guidance and training to develop talent. Set performance standards, review performance, and make informed compensation decisions in line with HR policies. Communicate observations and work with business leadership on risk and control management strategies.

• Stakeholder Management : Partner with the division's leadership team and risk partners to ensure risk and control matters are appropriately considered as part of new and existing operations, technology and oversight processes. Proactively raise and execute plans to address risks before they materialize.

• Risk & Control Solutions : Partners with key stakeholders to identify risks, develop processes and embed risk mitigation into investment products and services . Applies investment and digital technical expertise to formulate best in-class solution s to optimize business outcomes .

• Consultation and Analytical Support: Provide advice on improving our approach to managing and controlling risk. Respond to risk events to identify root cause, themes and additional areas where similar events could occur. Propose solutions and ensure causes are remediated within risk tolerance.

• Training and Awareness: Develop and maintain knowledge and awareness of the wealth and investment industry, risk and control practices, and regulatory and/or policy changes. Serves as a subject matter expert and trainer on risk and internal control matters.

• Special Projects: Participate in special projects and perform other duties as assigned.

• Oversight : Provides oversight of business activities through effective governance practices . Maintains strong relationships with key stakeholders aligned to the division. Responsible for implementing a strong culture of governance and accountability across division.

Qualifications

• Minimum of eight years related work experience. Leadership experience required.

• Bachelor’s degree in a related field; advanced degree preferred.

• Strong understanding of investment products and wealth management technology .

• Proven experience in risk management, internal auditing, or compliance.

• Strong understanding of regulatory requirements and industry standards.

• Excellent analytical and problem-solving skills.

• Effective communication and interpersonal skills.

• Ability to work independently and as part of a team.

Special Factors

Sponsorship

Vanguard is not offering visa sponsorship for this position.

About Vanguard

At Vanguard, we don't just have a mission—we're on a mission.

To work for the long-term financial wellbeing of our clients. To lead through product and services that transform our clients' lives. To learn and develop our skills as individuals and as a team. From Malvern to Melbourne, our mission drives us forward and inspires us to be our best.

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.