Internal Audit Sr. Engagement Manager, Financial Advice

Vanguard Wayne, PA

About the Job

Vanguard has an exciting opportunity for a Senior Engagement Manager on our US Audit Services team. The team is responsible for executing risk-based audit and advisory engagements across our US client-facing businesses (including our Retail Organizations' advice agenda). This role will be instrumental in developing our audit coverage of the advice programs and technology that Vanguard will offer to clients.   

In this role you will:

  • Be responsible for building an audit program and audit plan for the advice business which includes being accountable for the related annual/ongoing risk assessments, assisting in determining the audit and advisory plan as well as determining resource needs.  Leverage deep client-facing wealth management expertise
  • Manage overall audit and advisory engagements to ensure the timely delivery of the highest quality work and value-add recommendations. May oversee multiple engagement teams concurrently working in a matrixed team environment.
  • Develop a thorough and comprehensive understanding of the processes, issues, pertinent regulations and risks associated with engagement scope. Assess the adequacy of the control environment, identifies 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 advisory findings, ratings and recommendations to senior management.
  • Effectively communicate and clearly articulate the objectives, status and results of assigned work, both orally and in written form, to various levels of management. Influence senior management (department heads and officers) to act on recommendations to strengthen the control environment and make process improvements.
  • 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.
  • Participate, and at times lead, team, department and/or divisional projects to effectively deliver on operational and strategic goals.
  • Communicate expectations and review work of audit team to provide coaching and feedback to aid in their development.
  • Recruit, train, and develop auditors to ensure that an efficient and high standard of auditing is maintained.

What it takes:

  • Undergraduate degree in a business related field of concentration or equivalent combination of training and experience. Professional certification or advanced degree (e.g., CFA, CFP, MBA) is a plus.
  • Eight to eleven years of experience within the financial services industry.
  • Experience in advice offerings, building HNW client offers, external advisor business model is a requirement.
  • Experience in audit, risk or controls is preferred.
  • Ability to present findings and industry insights to senior leaders across the company.
  • Strong conceptual thinking aptitude and ability to persuade and influence others.
  • Demonstrated ability to work in a complex, dynamic, and fast-paced environment with strong inherent project execution skills, including: prioritizing tasks, balancing workload between multiple projects, anticipating next steps, adapting to changing situations and project scope.
  • Strong interpersonal skills, including: written and verbal communications, willingness to assist in areas outside of direct assignments when necessary, and commitment to self-improvement and completion of team objectives.
  • Experience in situations requiring diplomacy. Strong negotiation skills.
  • Excellent relationship skills and client focused mindset.

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.