Senior Audit Engagement Manager- Advice & Wealth Management
Vanguard’s Internal Audit & SOX department is seeking a Senior Engagement Manager within our Advice & Wealth Management (AWM) team! This role is crucial for evaluating risks for AWM as well as the broader US distribution businesses.
In this role, you will lead and contribute to matrixed teams to complete risk-based audit engagements, evaluate management’s internal controls, and influence senior leadership to improve the control environment. Collaboration with collaborating groups across divisions is crucial, and you will play a key role in developing, implementing, and executing the audit strategy for key risk topics.
This is a hybrid role requiring 3 days per week in the office; fully remote work and relocation are not available—candidates must live within commuting distance.
Responsibilities:
Serve as trusted advisor and consultant to the department and business leaders to share knowledge and perspective on topics related to governance, risk, control and areas of expertise
Manage audit engagements to ensure the timely delivery of the highest quality work and recommendations; may lead multiple engagement teams concurrently working in a matrixed team environment.
Support completing the related annual/ongoing risk assessments and creation of the audit and consulting plan for the aligned division(s) / functional area(s)
Communicate and clearly articulate the objectives, status and results of assigned work to various levels of management. Influence management to act on recommendations to strengthen the control environment and make process improvements
Establish and manage relationships with management across aligned business division(s) and functional area(s) and risk partners
Develop a detailed and comprehensive understanding of the processes, issues, pertinent regulations and risks associated with engagement scope
Assess the adequacy of the control environment, identify control gaps and opportunities for continuous improvement and relates it division and enterprise-wide, as appropriate. Perform audit work and analysis on complex audit areas. Provide opinion on audit and consulting engagement findings, ratings and recommendations to senior management
Communicate expectations and review work of audit team to provide coaching and feedback to aid in their development
Participate in special projects and perform other duties as assigned
Qualifications:
Undergraduate degree required; graduate degree preferred
Minimum of five years of experience in audit, risk, or controls (e.g., internal audit, advisory/consulting); must be audit-focused, not compliance
Deep audit expertise with ability to deliver difficult findings to senior executives
Strategic problem solver with strong risk assessment and problem-solving skills
Agile approach; able to focus on high-impact issues in complex environments
Experience in Financial Services, especially Advice & Wealth Management (preferred)
Strong communication and influencing skills with senior partners
Special Factors
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.
Originally posted on Himalayas
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