Senior Specialist, Controls and Enablement – Personal Wealth, Brokerage and Investments

Vanguard

Controls and Enablement Senior Specialist at Vanguard leading risk and control functions across Personal Wealth organization. Engaging and mentoring teams to ensure compliance and effective risk management.

Posted 5/5/2026full-timeMalvern • Arizona, North Carolina, Pennsylvania • 🇺🇸 United StatesSeniorWebsite

About the role

Key responsibilities & impact

Drive the risk and control strategy including process, risk and control ownership, assurance activities (manual and automated), and business accountability.
Engage and lead the business to build and maintain a process and control environment that aligns with enterprise risk appetite and regulatory expectations.
Champion Control Automation and emerging technologies to strengthen control execution and reduce risk.
Define and embed Control Accountability across business teams, ensuring clarity of ownership and control execution.
Execute the RCSA program, embedding risk awareness, rigor and ownership throughout the business.
Execute the Issue Management program including influencing timely and high-quality opening and closing of issues.
Serve as a key liaison to line of business partners including second line of defense and Internal Audit, ensuring proactive engagement, audit readiness, and issue management.
Deliver robust reporting and insights on control health and risk posture to senior leaders, enabling data driven decision making.

Requirements

What you’ll need

Minimum eight years related work experience.
Undergraduate degree or equivalent combination of training and experience.
Graduate degree preferred.
Deep risk management expertise, control frameworks and operational risk.
Experience in line of business risk, control assurance or internal audit, ideally in a regulated financial services environment.
Strong relationship management and influencing skills across all levels of the organization.
Ability to analyze data and translate it into meaningful insights and recommendations.
Strong data literacy and ability to translate data into actionable insights and strategic recommendations.
Experience with Governance, Risk, and Compliance (GRC) platforms (e.g., Archer) is a plus.
Demonstrated ability to lead through complexity and ambiguity while delivering sustainable outcomes.
FINRA SIE, Series 7, 63 and 24 are preferred.

Benefits

Comp & perks

No visa sponsorship offered

ATS Keywords

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Applicant Tracking System Keywords

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Hard Skills & Tools

risk managementcontrol frameworksoperational riskdata analysiscontrol automationissue managementRCSA program executiondata literacyreportinginsights generation

Soft Skills

relationship managementinfluencing skillsleadershipstrategic recommendationscommunicationproblem-solvingadaptabilitycollaborationdecision makingengagement

Certifications

FINRA SIESeries 7Series 63Series 24