Senior Manager, Divisional Risk

2 days ago

Charlotte, United States Vanguard Full time

The Personal Investor Risk team supports Personal Investor; Vanguard’s retail brokerage and advice platform.  The Senior Manager, Divisional Risk role will lead a team that supports the objectives of the Client Experience and Digital (CXD) sub-division of Personal Investor through risk management. This role will partner with the business to identify and remediate top risks, establish risk tolerance, and establish a blueprint for the continued maturation of the CXD risk program.

Core Responsibilities

  • Manages staff. Develops, mentors, and provides guidance, training, and motivation, as necessary. Conducts regular one on one and staff meetings. Hires, evaluates, and counsels crew. Follows corporate disciplinary procedures per established Vanguard standards as required. Sets performance standards, reviews performance, provides feedback, and recommends wage increases in accordance with all applicable Human Resources policies and procedures.
  • Provides risk guidance, oversight, and assurance services to the enterprise and partners based on the operational and strategic risk framework. Seeks ideas and perspectives from across the divisions or business units to improve oversight capabilities and maintains strong relationships with key stakeholders.
  • Implements and manages risk and control management standards within the division’s processes. Identifies and prioritizes existing and emerging risks and advises on appropriate control design and testing. Effectively communicates strategies and plans to all appropriate parties.
  • Ensures that the division has an appropriate level of review and key controls, and that key controls are designed and operating effectively in accordance with established standards. 
  • Provides consultation and analytical support to key stakeholders as needed, and ensures internal controls are properly implemented without compromising client service.
  • Partners with the division's leadership team to ensure business risk and control decisions are made during the design and development of technology and service or operating model changes. Proactively raises and executes plans to address key issues.
  • Develops, maintains, and evolves a comprehensive program for monitoring and analyzing controls. Establishes metrics, dashboards, and reports that are distributed regularly and can be used to identify potential control opportunities, as well as monitor the effectiveness of the controls in place. Reports to department leadership on controls across the department.
  • Develops and maintains broad knowledge and awareness of the investment industry, risk management practices, and regulatory and/or policy changes. Serves as a subject matter expert on risk management discussions.
  • Participates in special projects and performs other duties as assigned.

Qualifications

  • Minimum of eight years related work experience. Supervisory experience preferred.
  • Undergraduate degree or equivalent combination of training and experience. Graduate degree preferred.

Special Factors

Sponsorship

Vanguard is not offering visa sponsorship for this position.

About Vanguard

We are Vanguard. Together, we’re changing the way the world invests.

For us, investing doesn’t just end in value. It starts with values. Because when you invest with courage, when you invest with clarity, and when you invest with care, you can get so much more in return. We invest with purpose – and that’s how we’ve become a global market leader. Here, we grow by doing the right thing for the people we serve. And so can you.

We want to make success accessible to everyone. This is our opportunity. Let’s make it count.

Inclusion Statement

Vanguard’s continued commitment to diversity and inclusion is firmly rooted in our culture. Every decision we make to best serve our clients, crew (internally employees are referred to as crew), and communities is guided by one simple statement: “Do the right thing.”

We believe that a critical aspect of doing the right thing requires building diverse, inclusive, and highly effective teams of individuals who are as unique as the clients they serve. We empower our crew to contribute their distinct strengths to achieving Vanguard’s core purpose through our values.

When all crew members feel valued and included, our ability to collaborate and innovate is amplified, and we are united in delivering on Vanguard's core purpose.

Our core purpose: To take a stand for all investors, to treat them fairly, and to give them the best chance for investment success.

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.

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