IT SOX Audit Senior Controls Manager

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.
• Review, challenge and approve key audit documentation, including IT systems and control scoping and risk ratings, process flowcharts, testing workpapers, and control issue assessments.
• 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.

Qualifications

• Undergraduate degree required; advanced degree or professional certification, such as CPA, CIA, CISSP, or CISA, is a plus.
• 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.
• Experience leveraging automation, data analytics, and full population testing in the execution of audits is ideal.
• 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.
• Proven ability to think critically and conceptually, exercise sound judgment, influence stakeholders, and make effective decisions in a dynamic environment.
• Excellent project management, communication, and relationship management skills, with the ability to collaborate across Technology, Finance, Risk, external audit, and other stakeholders.

About Vanguard

Vanguard is committed to transforming clients' lives through innovative products and services. Our mission is to drive long-term financial wellbeing for our clients. Vanguard fosters a mission-driven and highly collaborative culture, supporting both client outcomes and employee experiences. The company operates under a hybrid working model, allowing flexibility while maintaining essential in-person interactions.