Vanguard
IT SOX Audit Senior Controls Manager
Malvern, PA · Senior
Sponsorship not specifiedDetected 9 days ago
Data AnalysisComplianceProject ManagementFinancial AnalysisAccountingAuditingProcess ImprovementSASLeadershipCommunicationCollaborationMentoringFinancial ReportingInternal AuditCISSP
About the role
- Vanguard's Internal Audit & SOX department is seeking an IT SOX Audit Senior Controls Manager to join the SOX Audit Services (SAS) team.
- This role offers the opportunity to deepen expertise in IT and automated business process controls, technology risk, ICFR assurance, and SOX governance through audit lifecycle management and critical stakeholder engagement.
Responsibilities
- Lead engagement with IT and business control owners and stakeholders to identify and understand relevant technology and financial reporting risks, review documentation of end-to-end processes and data flows, and ensure effective internal controls aligned with SOX and ICFR objectives.
- Evaluate control exceptions and lead remediation efforts, diagnosing root causes, advising on corrective actions, and providing insights on trends for internal and external reporting.
- Serve as a trusted partner to IT and business control stakeholders, offering guidance on certifications, issue remediation, process optimization, and effective control design while fostering strong cross-functional relationships.
- Lead coordination across Internal Audit, SOX, Risk, Technology, Business and External Audit teams to enable timely advancement of SOX campaign objectives throughout the audit lifecycle.
- Support technology risk mitigation strategies related to new system implementations, third-party product adoptions, control automation, and emerging technology risks that may impact Vanguard's financial reporting control environment.
- Drive continuous improvement initiatives that enhance the use of technology, automation, and data analytics to strengthen and improve efficiency of ICFR audit execution.
- Lead and contribute to matrixed teams, providing timely feedback, coaching, and development opportunities.
- Drive accountability for SOX campaign execution and outcomes, proactively managing timelines, risks, and dependencies, while escalating issues to senior leadership as appropriate.
- Participate in special projects and perform other duties as assigned.
Requirements
- Experience leveraging automation, data analytics, and full population testing in the execution of audits is ideal.
- Proven ability to think critically and conceptually, exercise sound judgment, influence stakeholders, and make effective decisions in a dynamic environment.
- Minimum of five years of related work experience with knowledge of SOX concepts, practices, and procedures, as well as IT subject-matter proficiency, including automated financial controls, IT logical access, change management, and operations
- audit experience within public accounting and/or internal audit is ideal.
- Experience with controls, audit, or risk work, including IT and automated controls testing, internal audits, operational audits, advisory, consulting, or compliance, within the financial services industry, corporate finance functions, technology, or risk management ideal.
- Excellent project management, communication, and relationship management skills, with the ability to collaborate across Technology, Finance, Risk, external audit, and other stakeholders.
- Special factors
- This is a hybrid role - candidates must be commutable to Vanguard's Malvern, PA office.
- Sponsorship
- Vanguard is not offering visa sponsorship for this position.
Nice to have
- Undergraduate degree required
- advanced degree or professional certification, such as CPA, CIA, CISSP, or CISA, is a plus.
- Experience with the system development lifecycle (SDLC) and evaluating technology implementation risk is preferred.
- Experience testing, designing, or evaluating IT and business processes and data workflows is preferred.
Skills
- SAS serves as Vanguard's centralized ICFR (internal control over financial reporting) assurance and audit function.
Visa & Work Authorization
- Vanguard is not offering visa sponsorship for this position.
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This listing is sourced directly from Vanguard's careers page and normalized into a canonical job model.