Director of Risk & Controls for Wealth Innovation

Vanguard

Charlotte (NC)

On-site

USD 150,000 - 210,000

Full time

14 days+

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Benefits offered by this job

Sponsorship not offered

Job summary

Vanguard seeks a risk-minded professional to evaluate and enable innovative digital tools and investment products for the Personal Wealth Division, partnering with leaders, product teams, and risk experts to enable growth while protecting clients. You will influence the product lifecycle, embedding strong risk controls from development through adoption.

The role requires eight+ years of experience, a related bachelor’s degree, and proven collaboration with business, technology, and risk teams to

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.

Responsibilities

Leadership: Hire, evaluate, and supervise crew, providing guidance and training to develop talent.
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 solutions 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.