Director, Wealth Tech Risk & Controls

Vanguard; Charlotte (NC); On-site; USD 140,000 - 180,000; Full time

Job summary

Vanguard seeks a high-impact risk-minded professional to evaluate and enable innovative digital tools and investment products across the Personal Wealth Division. You will partner with leaders, product teams, and risk experts to enable wealth management capabilities for clients and advisors, while embedding strong controls from development through adoption.

In this role, you will influence product lifecycles, shape processes, challenge assumptions, and balance innovation with risk management 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. 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.

Skills

Leadership

Communication

Stakeholder influence

Risk management

Problem solving

Education

Bachelor's degree

Advanced degree preferred

Job description

Vanguard seeks a high-impact risk-minded professional to evaluate and enable innovative digital tools and investment products across the Personal Wealth Division. You will partner with leaders, product teams, and risk experts to enable wealth management capabilities for clients and advisors, while embedding strong controls from development through adoption.

In this role, you will influence product lifecycles, shape processes, challenge assumptions, and balance innovation with risk management to