Senior Manager, Financial Communications & Controls

About Vanguard 
  

Founded in 1975, Vanguard is one of the world's leading investment management companies. The firm offers investments, advice, and retirement services to individual investors, institutions, and financial professionals. Vanguard operates under a unique, investor-owned structure where Vanguard fund shareholders own the funds, which in turn own Vanguard. As such, Vanguard adheres to a simple purpose: To take a stand for all investors, to treat them fairly, and to give them the best chance for investment success. For more information, visit vanguard.com. 

 

About Personal Investor 

 

Vanguard is the only company built for investors, fueled by a distinct core purpose: To take a stand for all investors, to treat them fairly, and to give them the best chance for investment success. As Vanguard’s direct provider, Personal Investor plays a special role in that mission. When investors come to us directly, they are choosing to have a deep, enduring relationship with Vanguard. They are choosing much more than our products—they are choosing purpose-driven crew, a disciplined client offer, and an experience built to make each client a better investor. 

 

The Personal Investor division supports clients through every step of their financial journey including prospective clients, new investors navigating investing, education savings, financial advice, retirement, and more. 

Summary 

 

As the Senior Manager, Financial Communications & Controls you will lead a large cross-functional operation in conjunction with managing and deepening critical supplier relationships for the enterprise. In addition, will partner closely with both Federal and State regulators, as wells internal partners including Financial Communications, and other key stakeholders.   

  

What it takes   

• 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. 
• Supports strategic direction, vision, and coaching to senior leaders and department heads in all areas of operational processes as it relates to client services. 
• Reviews reports on departmental statistics and trends and provides recommendations that align with long-term strategic goals of the department. 
• Leads interdepartmental conversations to manage client processing issues, avoiding critical barriers to operational efficiencies, and enhancing the long-term effectiveness of the team's day-to-day activities. 
• Oversees controls, quality assurance, and auditing for department. Leverages and enforces expert knowledge of operational rules and regulations as it relates to client services. Drives strong risk management and regulatory oversight. 
• Participates in special projects and performs other duties as assigned. 

 

 Qualifications   

• Minimum ten years of related experience required. Five years' experience in operations processing preferred. 

• Ability to pass the Series 7 and 24 within six months. 

• Undergraduate degree or equivalent combination of training and experience required.  

 Special Factors   

• Financial and Data Analysis acumen is a plus. 

• Familiarity with the regulatory landscape is a plus.  

 

 

 

 

 

Special Factors

Sponsorship

Vanguard is not offering visa sponsorship for this position.

About Vanguard

We are Vanguard. Together, we’re changing the way the world invests.

For us, investing doesn’t just end in value. It starts with values. Because when you invest with courage, when you invest with clarity, and when you invest with care, you can get so much more in return. We invest with purpose – and that’s how we’ve become a global market leader. Here, we grow by doing the right thing for the people we serve. And so can you.

We want to make success accessible to everyone. This is our opportunity. Let’s make it count.

Inclusion Statement

Vanguard’s continued commitment to diversity and inclusion is firmly rooted in our culture. Every decision we make to best serve our clients, crew (internally employees are referred to as crew), and communities is guided by one simple statement: “Do the right thing.”

We believe that a critical aspect of doing the right thing requires building diverse, inclusive, and highly effective teams of individuals who are as unique as the clients they serve. We empower our crew to contribute their distinct strengths to achieving Vanguard’s core purpose throug