The Controls Management Analyst, Senior Associate plays a key role in strengthening Personal Investor’s operational control environment. This role performs internal control reviews, monitors control performance, and supports regulatory and audit readiness across PI. The Senior Associate serves as a second line of defense by ensuring adherence to policies, procedures, and regulatory expectations, helping to safeguard Vanguard, our crew, and our clients. This is a non‑client‑facing role with broad, cross‑departmental exposure across Personal Investor, Risk, Compliance, and Internal Audit.

What You’ll Do

• Perform internal control reviews across Personal Investor, including phone and case audits and various transaction‑based reviews.

• Support a broad portfolio of approximately 30 audit types, requiring adaptability and strong business acumen.

• Conduct accuracy checks and “audit‑the‑auditor” quality reviews to ensure consistency and precision in audit work.

• Analyze findings, identify trends, and provide clear recommendations to business partners.

• Complete recurring reporting cycles, including two‑week audit routines and daily production reporting.

• Support internal and external audits by preparing documentation and assisting with walkthroughs and responses.

• Use tools such as CRAVE, BPM, Tableau, Excel (including macros), VAST, and BETA to complete audit work, review data, and manage workflows.

• Partner across PI Operations, Compliance, Risk, and Internal Audit to communicate findings and reinforce policy adherence.

• Learn and apply PI policies and procedures quickly, gradually assuming responsibility for full audit rotation coverage.

Required Qualifications

• Undergraduate degree or equivalent combination of training and experience.

• Minimum two years of experience in audit, risk and controls, compliance, operational oversight, or quality review.

• Strong attention to detail and accuracy in evaluating and documenting work.

• Ability to balance multiple audit types, workflows, and communication streams simultaneously.

• Strong written and verbal communication skills, including delivering constructive feedback.

• Ability to work within structured routines and meet established reporting deadlines.

• Demonstrated ability to learn and apply policy, procedure, and business knowledge quickly.

Preferred Qualifications

• Experience with operational audits, phone audits, case reviews, or similar QA functions.

• Knowledge of Vanguard business processes, policies, and Personal Investor operations—or the ability to build this acumen quickly.

• Experience supporting control testing, audit documentation, or issue remediation.

• Project‑management mindset with the ability to organize work across multiple audit types.

• Ability to identify opportunities to improve processes and workflow consistency.

Special Factors

Sponsorship

Vanguard is not offering visa sponsorship for this position.