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Director of Internal Audit – leading risk‑based audits for Vanguard’s Personal Wealth & Cash Management team.
Hybrid role in Malvern, PA – 8+ years experience, team leadership, retail financial services focus.
Vanguard’s Internal Audit and SOX department is seeking an Audit Director for our Business & Corporate Audit Services (BCAS) team! In this high-impact leadership role, you and your team will deliver risk-based audits and consulting engagements across our Personal Wealth business—Vanguard’s direct-to-client retail investing platform—including brokerage, cash management, and high-yield savings products. We are seeking an audit leader with retail financial services experience, particularly across brokerage platforms, banking/deposit products, and client-facing wealth management businesses. This individual will lead complex, risk-based audit engagements, assess internal controls, and influence senior leadership while operating in a hands‑on, player/coach capacity within a small, high‑performing team.
RESPONSIBILITES
- 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 the audit and consulting plan for aligned business division(s) and functional area(s), including developing audit scope, objectives, and work plans. Adjusts and changes the plan as appropriate.
- Manages audit and consulting engagements to ensure the timely delivery of the highest quality work and value‑add recommendations. Oversees multiple engagement teams concurrently working in a matrixed team environment. Approves objectives and scope of engagements and issues audit reports to senior management. Concludes audit and consulting findings and presents ratings and recommendations to department and business senior management.
- Communicates the status and results of the audit and consulting plan as well as enterprise‑wide topics to various levels of management. Influences management in the aligned business division(s) and functional area(s) to act on recommendations to strengthen the control environment and make process improvements.
- Establishes and maintains relationships with management and risk partners for aligned business division(s) and functional area(s). Shares perspectives and connects relevant industry acumen, including best practices, audit standards, competitors, regulatory environment, and global impact with business processes.
- Supports the creation of reports for senior management and contributes to reporting for the audit committee, regulators and external auditors.
- Leads one or more department projects to deliver on operational and strategic goals.
- Performs other duties as assigned.
QUALIFICATIONS
- Minimum of eight years related work experience in internal audit, risk, or compliance, with a strong foundation in risk-based auditing.
- Undergraduate degree or equivalent combination of training and experience. Graduate degree preferred.
- CIA, CPA, or other financial designation preferred.
- Experience leading teams, projects, or engagements, including informal leadership or mentorship, with readiness to lead in a player/coach capacity.
- Experience within retail financial services strongly preferred, including brokerage platforms, banking or deposit products (e.g., high-yield savings), and/or direct-to-client wealth management businesses.
- Exceptional relationship-building and communication skills, with the ability to influence, persuade, and present findings and insights to senior leaders with confidence and clarity.
- Proven success in complex, fast-paced environments with strong project execution skills that include prioritizing tasks, managing multiple projects, anticipating next steps, and adapting to changing scope.
- Data analytics literacy and leadership, with the ability to advance the team’s learning curve, drive adoption, and ensure effective deployment of analytics capabilities in audit processes.
Special Factors
Sponsorship
Vanguard is not offering visa sponsorship for this position.
About Vanguard
At Vanguard, we dont 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.