Technical Risk Assurance Analyst, Specialist

This role provides broad exposure to both IT and ES&F.  The team is transitioning to a proactive strategy for controls assurance.   This transition includes moving from a manual testing approach to an automated approach.   The Technical Risk Assurance Analyst, Specialist will have the responsibility to support the automation of controls testing and working with developers to refine the automation criteria used to identify control exceptions.   Vanguard’s Enterprise Technology Strategy (ETS) is a driver for the development and redesign of many controls.  This Specialist will support this strategy by applying their control expertise to identify and design controls that mitigate risk. 

Core Responsibilities

• Provides assistance for IT and ES&F and control-related matters. Collaborates with internal team and technology partners to create, sustain, and strengthen the internal control framework through control identification, design, implementation, and testing. 

• Assists the team with design, implementation, testing and ongoing monitoring of controls across the IT and ES&F divisions. 

• Identifies and implements opportunities to improve the effectiveness and efficiency of control testing. 

• Provides consultation, facilitation and analytical support to confirm internal controls are properly aligned and implemented for flawless execution, overall compliance and fulfilling business partner expectations. 

• Provides guidance and support to management and control owners on responsibilities. 

• Provides consulting on internal and external audit activities and results as well as risk mitigation initiatives in response to audit findings. 

• Educates and influences partners on control design and effectiveness and recommends actions to increase effectiveness of those controls based on testing assessments. 

• Develops effective working relationships throughout the subdivisions and divisions.  Collaborates with the department and management sharing best practices regarding controls to influence and effectively communicate control solutions to all appropriate parties.  Provides guidance, training and motivation necessary to create control awareness, ownership and accountability to crew. 

• Consults with risk teams, Information Security, Internal Audit and external auditors, corporate compliance, legal, Vanguard Workplace Solutions (aka IIG) and other appropriate parties sharing expertise and knowledge to strengthen the control environment. 

• Participates in special projects and performs other related activities as assigned. 

Examples of software and platforms: 

ACF2 

Netbackup 

Active Directory 

Oracle 

AWS 

QualysPC 

Azure