Brokerage Risk Director: Strategy, Governance & Oversight

Vanguard; Charlotte (NC); Hybrid; USD 140,000 - 220,000; Full time

Job summary

Vanguard seeks a Risk Director for Personal Wealth to provide independent risk oversight across brokerage and investments. You will assess, monitor, and mitigate operational, regulatory, compliance, and technology risks with a strong cross-functional influence.

The role requires deep risk expertise and leadership in a complex, regulated environment. The position supports a hybrid working model, partnering with technology, operations, legal, compliance, and audit to strengthen controls and

Qualifications

• 10+ years in wealth management and/or personal investment advisory services, with at least 8 years in risk management.
• Undergraduate degree required; graduate degree preferred (e.g., JD, MBA, MS in Risk/Finance).
• Hands-on mastery of operational risk frameworks and control assurance.
• Demonstrated people leadership capabilities and risk culture development.
• Exceptional communicator and strategic thinker who aligns senior leaders.

Responsibilities

• Provide independent oversight of risk activities and challenge risk completeness and quality.
• Lead risk identification, assessment, and remediation across broker-dealer platforms.
• Develop and evolve risk governance programs and reporting for leadership forums.
• Partner with stakeholders across business, technology, legal, compliance, and audit.
• Mentor a team of risk practitioners to deliver timely risk projects.

Skills

Wealth management

Risk management

Leadership

Strategic thinking

Regulatory knowledge

Education

Undergraduate degree

Graduate degree preferred

Job description

Vanguard seeks a Risk Director for Personal Wealth to provide independent risk oversight across brokerage and investments. You will assess, monitor, and mitigate operational, regulatory, compliance, and technology risks with a strong cross-functional influence.

The role requires deep risk expertise and leadership in a complex, regulated environment. The position supports a hybrid working model, partnering with technology, operations, legal, compliance, and audit to strengthen controls and