Hybrid Risk Director, Wealth & Brokerage

Vanguard; Malvern (Chester County); Hybrid; USD 180,000 - 240,000; Full time

Benefits offered by this job

Hybrid work model

Job summary

Vanguard seeks a Risk Director to provide independent risk oversight and strategic risk advisory across its Personal Wealth and brokerage portfolio. You will partner with business leadership to assess, monitor, and mitigate operational, regulatory, and technology risks, while strengthening governance and controls.

Ideal candidates have 10+ years in wealth management risk, strong regulatory knowledge (FINRA, Reg BI), and proven leadership.

Qualifications

• 10+ years of experience in wealth management or personal investment advisory services with risk management focus.
• Graduate degree preferred (e.g., JD, MBA, MS in Risk/Finance).
• Hands-on mastery of operational risk frameworks and control assurance.

Responsibilities

• Provide independent risk oversight across brokerage and wealth management platforms.
• Challenge completeness, quality, and judgment in risk assessments.
• Lead and develop a team of risk practitioners and guide risk governance.

Skills

Risk management

Regulatory compliance

Leadership

Communication

Strategic thinking

Financial services

Education

Bachelor's degree

Tools

Regulatory reporting tools

GRC software

Job description

Vanguard seeks a Risk Director to provide independent risk oversight and strategic risk advisory across its Personal Wealth and brokerage portfolio. You will partner with business leadership to assess, monitor, and mitigate operational, regulatory, and technology risks, while strengthening governance and controls.

Ideal candidates have 10+ years in wealth management risk, strong regulatory knowledge (FINRA, Reg BI), and proven leadership.