IT SOX Audit Senior Controls Manager

Vanguard; Malvern (Chester County); Hybrid; USD 120,000 - 190,000; Full time

Job summary

Vanguard is seeking an IT SOX Audit Senior Controls Manager to lead IT/ICFR controls, risk assessment, and audit lifecycle activities within the SAS team.

You will review documentation, drive remediation, and collaborate with IT, Finance, Risk, and External Audit to ensure SOX compliance and effective control design in a dynamic technology environment.

Qualifications

• Undergraduate degree required; advanced degree or professional certification (CPA/CIA/CISSP/CISA) a plus.
• Experience with SOX concepts, controls, and IT assurance within financial services preferred.
• Proven ability to lead cross‑functional teams and drive remediation initiatives.

Responsibilities

• Lead IT and business control owner engagements to identify risks and ensure effective SOX/ICFR controls.
• Review and challenge audit documentation including scoping, risk ratings, and control designs.
• Drive remediation of control issues and provide insights on trends for reporting.
• Coordinate with Internal Audit, Risk, Technology, Finance and External Audit teams to advance SOX campaigns.
• Support technology risk mitigation in new system implementations and automation initiatives.

Skills

Critical thinking

Project management

Communication

Decision making

Technology risk

Data analytics

Automation

Education

Bachelor’s degree

CPA/CIA/CISSP/CISA (plus)

Tools

SDLC

ITGC testing

Control testing

Job description

Vanguard's Internal Audit & SOX department is seeking an IT SOX Audit Senior Controls Manager to join the SOX Audit Services (SAS) team. SAS serves as Vanguard's centralized ICFR (internal control over financial reporting) assurance and audit function. In this role, you will oversee and review activities across the ICFR audit cycle including IT risk assessments, system walkthroughs and scoping, testing of IT and automated business process controls, deficiency evaluations, and audit reporting.

This role offers the opportunity to deepen expertise in IT and automated business process controls, technology risk, ICFR assurance, and SOX governance through audit lifecycle management and critical stakeholder engagement. You will focus on controls and processes at the intersection of financial reporting and technology risk, helping Vanguard navigate a control environment shaped by AI, automation, advanced analytics, and digital transformation. You will lead ongoing efforts to leverage automation, analytics, and AI in the audit lifecycle.

We are seeking an individual with strong critical and conceptual thinking skills, exceptional project and relationship management capabilities, strong communication, judgment, and decision-making skills, and strong technology, data, and automation acumen.

Responsibilities

• Lead engagement with IT and business control owners and stakeholders to identify and understand relevant technology and financial reporting risks, review documentation of end-to-end processes and data flows, and ensure effective internal controls aligned with SOX and ICFR objectives.
• Review, challenge and approve key audit documentation, including IT systems and control scoping and risk ratings, process flowcharts, testing workpapers, and control issue assessments.
• Evaluate control exceptions and lead remediation efforts, diagnosing root causes, advising on corrective actions, and providing insights on trends for internal and external reporting.
• Serve as a trusted partner to IT and business control stakeholders, offering guidance on certifications, issue remediation, process optimization, and effective control design while fostering strong cross-functional relationships.
• Lead coordination across Internal Audit, SOX, Risk, Technology, Business and External Audit teams to enable timely advancement of SOX campaign objectives throughout the audit lifecycle.
• Support technology risk mitigation strategies related to new system implementations, third-party product adoptions, control automation, and emerging technology risks that may impact Vanguard's financial reporting control environment.
• Drive continuous improvement initiatives that enhance the use of technology, automation, and data analytics to strengthen and improve efficiency of ICFR audit execution.
• Lead and contribute to matrixed teams, providing timely feedback, coaching, and development opportunities.
• Drive accountability for SOX campaign execution and outcomes, proactively managing timelines, risks, and dependencies, while escalating issues to senior leadership as appropriate.
• Participate in special projects and perform other duties as assigned.

Qualifications

• Undergraduate degree required; advanced degree or professional certification, such as CPA, CIA, CISSP, or CISA, is a plus.
• Minimum of five years of related work experience with knowledge of SOX concepts, practices, and procedures, as well as IT subject-matter proficiency, including automated financial controls, IT logical access, change management, and operations; audit experience within public accounting and/or internal audit is ideal.
• Experience with controls, audit, or risk work, including IT and automated controls testing, internal audits, operational audits, advisory, consulting, or compliance, within the financial services industry, corporate finance functions, technology, or risk management ideal.
• Experience leveraging automation, data analytics, and full population testing in the execution of audits is ideal.
• Experience with the system development lifecycle (SDLC) and evaluating technology implementation risk is preferred.
• Experience testing, designing, or evaluating IT and business processes and data workflows is preferred.
• Proven ability to think critically and conceptually, exercise sound judgment, influence stakeholders, and make effective decisions in a dynamic environment.
• Excellent project management, communication, and relationship management skills, with the ability to collaborate across Technology, Finance, Risk, external audit, and other stakeholders.

Special factors

• This is a hybrid role - candidates must be commutable to Vanguard's Malvern, PA office.

Sponsorship

Vanguard is not offering visa sponsorship for this position.

About Vanguard

At Vanguard, we don't just have a mission - we're on a mission. To work for the long-term financial wellbeing of our clients. To lead through product and services that transform our clients' lives. To learn and develop our skills as individuals and as a team. From Malvern to Melbourne, our mission drives us forward and inspires us to be our best.

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.