SOX Audit Services Controls Manager

Vanguard’s Internal Audit & SOX department has an opportunity for a Controls Manager on the SOX Audit Services (SAS) team. Our department mission is to maintain a best-in-class SOX program designed to achieve SOX compliance, while supporting business teams in the optimization of their financial reporting control environment.

In the Controls Manager role, you will support SOX Control Owners through certifications, optimization of processes, and remediation efforts, all while growing SOX and finance expertise, building relationships, and enhancing financial controls experience. You will also partner closely with SAS testing colleagues to develop financial statement risk mitigation strategies in collaboration with key stakeholders in Finance, Enterprise Risk Management, external audit, and other business leaders across the enterprise.

Responsibilities:

• Leads controls-based projects of varying scope and complexity to enable a robust, sustainable SOX-compliant financial reporting process.

• Engaging with control owners and stakeholders regarding the identification and effective design of new (and optimization of existing) control processes; includes documenting end-to-end process/data flows and identifying/understanding relevant financial statement risks.

• Establishing and maintaining professional, working relationships with control owners and stakeholders; serving as a key point-of-contact for control-related questions and concerns.

• Assessing the severity of control exceptions and diagnosing root causes; consulting with control owners regarding effective control remediation efforts and evaluating implementation success; providing insights regarding control exception themes/observations and assisting with related internal and external dashboarding/reporting.

• Collaborating with SAS testing colleagues, Internal Audit, and Risk counterparts to advance SOX campaign progress, and engaging with external audit in various capacities throughout the SOX campaign lifecycle.

• Maintaining awareness of risk and control topics; seeking to understand broad industry and Vanguard trends regarding risk and controls and determining applicability to the operation.

• Participating in special projects and performing other duties as assigned.

Qualifications:

• Bachelor's Degree or equivalent in a business-related field of concentration or equivalent combination of training and experience; professional certification or advanced degree (e.g., CPA, CISA, CISSP, CIA) is preferred.

• Minimum of five years related work experience with knowledge of SOX concepts, practices and procedures; audit experience within public accounting and/or internal audit is a plus.

• Experience with controls, audit, or risk (i.e., financial controls testing, internal audits, operational audits, advisory/consulting/compliance) within the financial services industry, corporate finance functions, or risk management highly preferred.

• Experience testing, designing, or evaluating workflows preferred.

• Strong analytical, problem identification, and problem-solving skills. 

• Excellent communication skills with the ability to interact with all levels of personnel.

• This role will be located in the Chesterbrook, PA location and requires candidates to be in the office in a hybrid capacity.

Special Factors

Sponsorship

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.