Controls Management, Specialist

Vanguard

Vanguard’s Internal Audit & SOX department has an opportunity for a SOX Solutions 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 Corporate SOX Control Owners through Certifications, Optimization of processes, and Remediation efforts (COR) – all while growing SOX and finance expertise, building relationships, and enhancing financial controls experience. You will also partner closely with SOX GO Testing colleagues to develop Corporate financial statement risk mitigation strategies in collaboration with key stakeholders in Finance, Enterprise Risk Management, external audit, and other business leaders 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:

Leading controls-based projects of varying scope and complexity to enable a robust, sustainable SOX GO-compliant financial reporting process; includes project managing the related work of other SOX GO crew (providing relevant feedback and coaching in a matrixed team environment).

Engaging with control owners and stakeholders regarding the identification and effective design of new (and optimization of existing) control processes; includes documenting end-to-end process/data flows and identifying/understanding relevant financial statement risks.

Establishing and maintaining professional, working relationships with control owners and stakeholders; serving as a key point-of-contact for complex control-related questions and concerns.

Assessing the severity of control exceptions and diagnosing root causes; consulting with 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 GO 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.

Seeking to understand and cascade to SOX GO crew broad industry and Vanguard-specific matters (existing and emerging); sourcing/developing and providing targeted education to SOX GO crew regarding effective internal control processes to enhance acumen, understanding and compliance.

Leading SOX GO initiatives and embracing the use of technology and data to improve campaign execution and efficiency.

Participating in special projects and performing other duties as assigned.

What it takes:

Bachelors Degree or equivalent in a business-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 eight years related work experience with knowledge of SOX concepts, practices and procedures, audit experience within public accounting and/or internal audit is a plus.

Experience with controls, audit, or risk (i.e., financial 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

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 Vanguards 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.

Vanguard, one of the worlds largest investment management companies, serves individual investors, institutions, employer-sponsored retirement plans, and financial professionals. We have a diverse and talented crew with a culture that promotes teamwork, along with an unwavering focus on serving our clients best interests.

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