SOX Audit Services Solutions Manager
About the position Vanguard's Internal Audit & SOX department is seeking two Solutions Managers to join the SOX Audit Services (SAS) team! One role focuses on internal control over financial reporting for Vanguard Group, Inc., while the other is dedicated to internal control over financial reporting for registered investment companies ('40 Act funds). In the Solutions Manager role, you will support SOX Control Owners through certifications, optimization of processes, and remediation efforts, all while growing SOX and finance expertise, building relationships, and enhancing financial controls experience. You will also partner closely with SAS testing colleagues to develop financial statement risk mitigation strategies in collaboration with key stakeholders in Finance, Enterprise Risk Management, external audit, and other business leaders across the enterprise. Responsibilities • Leading controls-based projects of varying scope and complexity to enable a robust, sustainable SOX-compliant financial reporting process; includes managing the related project work of other SAS crew (providing relevant feedback and coaching in a matrixed team environment). • Engaging with control owners and partners to design and optimize control processes, document process flows, and address financial risks. • Maintaining professional relationships and serving as a key contact for complex control-related concerns. • Assessing the severity of control exceptions and diagnosing root causes; advising control owners regarding effective control remediation efforts and evaluating implementation success; providing insights regarding control exception themes/observations and assisting with related internal and external dashboarding/reporting. • Collaborating with SAS testing colleagues, Internal Audit, and Risk counterparts to advance SOX campaign progress, and engaging with external audit in various capacities throughout the SOX campaign lifecycle. • Seeking to understand and cascade to SAS crew broad industry and Vanguard-specific matters (existing and emerging); sourcing/developing and providing targeted education to SAS crew regarding effective internal control processes to enhance acumen, understanding and compliance. • Leading SAS initiatives and embracing the use of technology and data to improve campaign execution and efficiency. • Participating in special projects and performing other duties as assigned. Requirements • Bachelor's Degree or equivalent in a business-related field of concentration or equivalent combination of training and experience; professional certification or advanced degree (e.g., CPA, CISA, CISSP, CIA) is preferred. • Minimum of eight years related work experience with knowledge of SOX concepts, practices and procedures; audit experience within public accounting and/or internal audit is a plus. • Experience with controls, audit, or risk (i.e., financial controls testing, internal audits, operational audits, advisory/consulting/compliance) within the financial services industry, corporate finance functions, or risk management highly preferred. • Experience testing, designing, or evaluating workflows preferred. • Strong analytical, problem identification, and problem-solving skills. • Excellent communication skills with the ability to interact with all levels of personnel. Apply tot his job