The Risk & Controls Advisor within Advice & Wealth Management is a business‑embedded risk partner supporting advice and brokerage operations, playing a key role in developing solutions to business challenges and conducting analysis to help management proactively address potential risks to the firm and its investors. This role works closely with business leaders and risk partners, including Compliance, Risk, and Internal Audit, to ensure effective risk management practices that support advisory activities while protecting clients and the firm.
You will be essential in helping maintain robust processes and controls, strong oversight, and operational resilience across advisory and investment‑related business activities. The role also supports the development and implementation of a divisional framework that promotes strong governance and sustainable risk and control environment for both current and future wealth management business needs.
What You’ll Do
Identify and assess risks across advisory products, client interactions, advisor workflows, and brokerage operations
Partner with business leaders to develop practical risk mitigation strategies
Evaluate control design and operating effectiveness; perform root cause analysis and drive remediation
Provide consultative support on risk events, trends, and emerging issues
Support policy development, governance, and ongoing monitoring
Serve as a risk and controls subject matter resource for the wealth business
What We’re Looking For
Experience translating data and analysis into insights on risk trends
Strong problem‑solving skills and comfort navigating ambiguity
Ability to simplify complex risk and control concepts for business partners
Confidence influencing cross‑functional stakeholders
Hands‑on, consultative approach to risk management
Qualifications
Minimum of five years' related work experience, with two years’ experience in risk management.
Undergraduate degree or equivalent combination of training and experience. Graduate degree preferred.
Experience supporting advice or wealth management businesses (e.g., advisory platforms, brokerage, managed accounts, advisor supervision) preferred
Strong understanding of regulatory and risk management principles
Excellent communication and analytical skills
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.
What We Do
We are a community of 30 million who think – and feel – differently about investing. Together, we’re changing the way the world invests. Since our founding in 1975, helping our investors achieve their goals is our sole reason for existence. With no other parties to answer to and therefore no conflicting loyalties, we make every decision—like keeping investing costs as low as possible—with only your needs in mind. Vanguard is one of the world's largest investment companies, offering a large selection of high-quality low-cost mutual funds, ETFs, advice, and related services. Individual and institutional investors, financial professionals, and plan sponsors can benefit from the size, stability, and experience Vanguard offers. As of April 30, 2019, we managed more than $5.6 trillion in global assets. In addition, we have 189 funds in the United States and 225 funds in global markets. For Commenting Guidelines & Important information, visit here: http://vanguard.com/linkedin Vanguard Marketing Corporation, Distributor.
