Risk Director, Financial Advisor Services

3 weeks ago

Malvern, United States The Vanguard Group Full time

Global Risk and Security

(GR&S) at Vanguard enables business strategy, protects client and Vanguard interests (e.g., assets and data), and stewards a strong risk culture. Our teams leverage enterprise-wide insights, deep expertise, and trusted advice so that across Vanguard leaders and crew drive faster, stronger, risk-informed decisions.

Vanguard Global Risk & Security (GR&S) is seeking a Risk Director to enable Vanguard's business strategy, protect clients, crew, and assets, and steward a risk-smart culture for Vanguard's Financial Advisor Services (FAS) business. FAS provides investments, services, education, and research to financial advisors across the U.S.

The Risk Director will l ead a small team of risk practitioners covering FAS business teams, including sales, product development, and operations functions. The person in this role will advise senior business leaders in the areas of strategic, financial, operational, reputational, and third-party risk, and provide credible challenge to them as needed.

This role reports to the FAS Chief Risk Officer, skip level to Vanguard’s Global Chief Risk officer. In this role you will: Engage with senior business leaders to understand their goals and identify risks to their business areas. Provide advice and guidance to business leaders to influence risk-smart decision-making. Provide guidance and oversight to a team of risk practitioners as they analyze risks to the business and apply risk methodology to those risks. Be accountable for the timely completion of risk projects and ensuring the work of the risk practitioners is creating the desired outcomes. Implement frameworks and methodologies to identify risks, analyze risks,

assist

the business in establishing risk appetite, and

identifying appropriate controls and mitigations to manage the risk within appetite. Partner with IT Risk, Information Security, Marketing Risk, Legal, and Compliance teams to

develop

a comprehensive view of risk to the business.

Maintain an in-depth understanding of Vanguard and the FAS business.Independently stay informed of industry trends and developments to maintain strong business- and risk-acumen. Share learnings and perspective with the risk team and business partners. Conduct

risk meetings attended by senior business leaders and their teams. Coordinate the deployment of enterprise-wide risk projects within the FAS division. Create an inclusive and high-performing team atmosphere. Conduct regular one-on-one meetings and provide coaching, training and motivation as necessary to develop team members. Evaluate direct reports following corporate performance management procedures, including setting goals, reviewing performance, and providing feedback.

The ideal candidate excels at these top capabilities: A leader with high business- and risk-acumen. Someone who is outcome-oriented, motivated by challenging work, can operate in an environment of ambiguity, and overcome obstacles to deliver results. A strategic mindset, who can think creatively and use sound and mature business judgement. Cross functional collaborative director, comfortable influencing at all levels. Experience deriving data-driven insights. Someone motivated by Vanguard’s mission and purpose. Willingness to be hands on player coach, do the work themselves. Someone with a servant-leadership mindset and a proven track record of developing talent. What it takes: Minimum of ten years related work experience, with 5 years of experience leading risk domain (

e.g.,

strategic, financial, operational, etc.). Undergraduate degree or equivalent combination of training and experience. Knowledge of risk management theories and experience in applying risk management concepts. Knowledge of asset management products and distribution practices. Experience working with cross-functional project teams, including IT or product development teams. Ability to communicate, influence, navigate, persuade, and build buy-in across senior leaders and internal stakeholders. PRMIA or CRISC certification or ability to complete one such certification within 12 months of hire. 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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