Business Controls Oversight Analyst – Specialist

Vanguard

Business Controls Oversight Analyst responsible for compliance testing and analysis of defined contribution plans. Collaborating with stakeholders to resolve compliance issues and deliver accurate results.

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

About the role

Key responsibilities & impact

Prepares and reviews compliance testing and analysis functions for defined contribution plans
Researches and resolves compliance technical and regulatory issues independently
Delivers required compliance testing services within established time-frames in accordance with client and regulatory deadlines
Ensures proper review, sign-off and quality controls of all compliance testing and analysis functions for assigned clients
Documents and maintains Vanguard and department standard communications; provides appropriate written and oral communications to clients and internal personnel necessary to complete required functions, resolves issues, and delivers results for assigned clients
Establish and maintain internal and external client relationships with respect to compliance testing issues
Assists in the coaching and guidance of team members in both technology (systems used) and technical regulatory areas related to the performance of compliance testing and analysis functions
Pro-actively focuses on enhancing technology and regulatory skills and knowledge related to the performance of compliance testing and analysis functions including industry designations and certifications
Facilitates conference calls, client meetings, and internal meetings independently as needed
Participates in special projects, Vanguard corporate activities, and performs other duties as assigned

Requirements

What you’ll need

Minimum three years of compliance testing experience as related to qualified defined contribution plans
Undergraduate degree or equivalent combination of training and experience
Ability to communicate clearly both written and verbally to a variety of audiences, particularly on defined contribution nondiscrimination and compliance testing issues
Excellent data analysis and technology skills including ability to work extensively in Excel
Demonstrated analytical/problem solving skills related primarily to regulatory issues
Ability to assess problem situations and apply technical knowledge to propose and deliver accurate solutions for general and complex compliance testing
Ability to organize, prioritize and process multiple issues simultaneously
Ability to oversee the completion of tasks by multiple personnel for assigned clients
Knowledge of regulatory environments as related to defined contribution plans
Knowledge of record keeping database and compliance/nondiscrimination testing tools

Benefits

Comp & perks

Professional development opportunities
Extended hours during peak activity months

ATS Keywords

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Applicant Tracking System Keywords

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Hard Skills & Tools

compliance testingdata analysisExcelregulatory issuesproblem solvingtechnical knowledgenondiscrimination testing

Soft Skills

communicationorganizational skillsprioritizationcoachingrelationship management