Head of Digital & Analytics Controls and Governance

Creating a culture of quality has become a central theme within Digital and Analytics. We’ve made meaningful progress by introducing risk-oriented product team ceremonies, enhancing oversight and controls management, and proactively addressing potential vulnerabilities through targeted audits. These efforts aim to resolve issues at their source and strengthen our overall risk posture.

As we approach the final stages of data modernization, the next step in our maturity journey is to establish clear ownership and assurance across the entire data lifecycle, particularly for the information we share with clients through our digital channels.

This will require a comprehensive approach that includes:

• Partnering with a consulting firm to assess the current landscape.
• Leading remediation efforts to close identified gaps.
• Implementing ongoing testing protocols.
• Developing a robust monitoring and attestation framework.

Together, these initiatives will help us embed quality and accountability into every stage of our data delivery process, ensuring we meet the highest standards of trust and transparency. This role will be critical to delivering on this outcome.

Responsibilities:

• Hires, evaluates, and supervises crew. Provides guidance and training as necessary to develop crew. Sets performance standards, reviews performance, and makes informed compensation decisions in accordance with all applicable Human Resources policies and procedures.
• Oversees and builds business controls oversight activities for multiple business lines. Identifies, measures, and monitors operational risk. Provides clarity of policies, procedures, internal controls, risk management, and reporting systems.
• Oversees enterprise-wide divisional/business control activities and makes key decisions that provide strategic direction for business controls. Leads and manages the development, implementation, and management of control management programs and risk mitigation. Maintains accordance with industry best practice, defined standards, domestic regulatory requirements, or other standard management processes.
• Builds and maintains strategic relationships to support the enterprise-wide oversight framework. Coordinates divisional/business control activities across the enterprise.
• Sets and leads overall control programs for Vanguard, both internally and externally, ensuring an effective control environment to properly manage risk. Identifies divisional/business risks or gaps and oversees continuous improvement of processes across the enterprise. Ensures compliance with regulations and mitigates enterprise-wide business risk. leads to coordination of external and internal audits.
• Maintains an expert level of Vanguard and industry knowledge. Keeps current on Vanguard policies and objectives, continues to expand knowledge of the business and industry, and keeps current on competition. Reviews all applicable current and future regulatory requirements to ensure effective controls, procedures and oversight reviews are in place.
• Participates in special projects and performs other duties as assigned.

What it takes:

• Minimum of ten years related work experience.
• Supervisory experience preferred.
• Undergraduate degree or equivalent combination of training and experience. Graduate degree preferred.
• Active FINRA Series 7, Series 24, and Series 63 regulatory licenses or the ability to obtain them within the time frame described in Vanguard’s FINRA Licensing Policy by utilizing resources and support provided by Vanguard.

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.