Controls & Governance Advisor, Advice & Wealth Management
At Vanguard, we are dedicated to helping our clients achieve financial success and security. As a Controls & Governance Advisor within our Advice & Wealth Management division, you will play a crucial role in ensuring that our operations adhere to regulatory requirements and internal policies. We are seeking a highly motivated individual with a strong understanding of risk management and compliance in the financial services industry. If you are passionate about providing exceptional service and have a keen eye for detail, we encourage you to apply for this exciting opportunity.
- Develop and implement controls and governance procedures to ensure compliance with regulatory requirements and internal policies.
- Monitor and assess operational processes to identify potential risks and recommend improvements to mitigate those risks.
- Collaborate with cross-functional teams to establish and maintain a comprehensive risk management framework.
- Conduct regular audits and reviews to ensure adherence to established controls and governance procedures.
- Stay updated on industry regulations and changes in policies to ensure continuous compliance.
- Provide guidance and support to team members on compliance and risk management matters.
- Analyze data and reports to identify trends and potential areas of concern.
- Prepare and present reports to senior management on the effectiveness of controls and governance measures.
- Identify and report any potential compliance issues or breaches and assist in their resolution.
- Participate in regulatory and internal audits and assist with the implementation of audit recommendations.
- Collaborate with legal and compliance teams to develop and update policies and procedures.
- Train and educate team members on regulatory requirements and internal policies.
- Maintain accurate and detailed documentation of all controls and governance processes.
- Continuously assess and improve controls and governance procedures to ensure efficiency and effectiveness.
- Adhere to ethical and professional standards in all job responsibilities.
Strong Knowledge Of Financial Regulations And Industry Best Practices: A Successful Controls & Governance Advisor Should Have A Deep Understanding Of Financial Regulations, Such As The Investment Advisers Act And Finra Rules, As Well As Industry Best Practices For Managing Risk And Ensuring Compliance.
Experience In Wealth Management Or Financial Services: Candidates Should Have Previous Experience In The Wealth Management Or Financial Services Industry, With A Proven Track Record Of Success In Roles Related To Controls And Governance.
Excellent Analytical And Problem-Solving Skills: This Role Requires The Ability To Analyze Complex Information And Identify Potential Risks, As Well As Develop And Implement Effective Solutions To Mitigate Those Risks.
Strong Communication And Interpersonal Skills: As A Controls & Governance Advisor, You Will Be Working Closely With Various Teams And Stakeholders, Including Senior Leaders. Effective Communication And Interpersonal Skills Are Essential For Building Relationships And Collaborating Effectively.
Understanding Of Technology And Data Management: In Today's Digital Age, It Is Crucial For A Controls & Governance Advisor To Have A Strong Understanding Of Technology And Data Management, As Well As The Ability To Leverage Data To Inform Decision-Making And Identify Potential Risks. Experience With Data Analytics Tools And Systems Is A Plus.
Risk Management
Financial Reporting
Process Improvement
Project Management
Data Analysis
Relationship Management
Team Leadership
Problem-Solving
Policy Development
Compliance monitoring
Regulatory Knowledge
Audit Preparation
Communication
Conflict Resolution
Customer Service
Emotional Intelligence
Leadership
Time management
creativity
Teamwork
Adaptability
Problem-Solving
According to JobzMall, the average salary range for a Controls & Governance Advisor, Advice & Wealth Management in Scottsdale, AZ, USA is $70,000-$90,000 per year. However, this can vary depending on factors such as the specific company, years of experience, and additional skills and certifications. It is best to research the specific company and job posting for a more accurate salary range.
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The Vanguard Group, Inc. is an American registered investment advisor based in Malvern, Pennsylvania, with about $7.7 trillion in global assets under management, as of April 2023. It is the largest provider of mutual funds and the second-largest provider of exchange-traded funds in the world after BlackRock's iShares.
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