Vanguard's Internal Audit & SOX department has an opportunity for an IT Testing Senior Consultant within the SOX (Sarbanes Oxley) Governance Office (SOX GO). SOX GO's mission is to maintain the best-in-class SOX program designed to achieve SOX compliance for Vanguard, while supporting business teams in the optimization of their financial reporting control environment.

In this role, you will actively engage throughout all stages of the assurance/testing cycle (planning, execution, reporting, and follow-up), all while growing SOX and IT expertise, building relationships, and enhancing IT controls experience. You will support the control environment by monitoring and testing key IT controls to ensure they are designed and operating effectively. You will also partner closely with SOX GO COR (Certifications, Optimization of processes, and Remediation) colleagues to develop IT risk mitigation strategies in collaboration with key stakeholders in Finance, Enterprise Risk Management, Information Technology, Global Risk and Security Divisions, external audit, and other business leaders across the enterprise. We seek individuals who can think critically and conceptually, have excellent project management, relationship management, communication, influence, judgement, and decision-making skills

• Identifying, understanding, and articulating material IT risks, including at the account assertion level.
• Coordinating and leading walkthroughs to assess control design effectiveness (all levels of risk); scheduling and performing control operating effectiveness testing throughout the SOX campaign lifecycle; generating and maintaining comprehensive controls testing documentation.
• Developing and updating (as needed) control test approach and criteria/steps, including with respect to information produced by the entity (IPE).
• Assessing control risk ratings pursuant to an established methodology; evaluating the completeness, sufficiency, and appropriateness of control-risk relationships (i.e., risk mitigation).
• Reviewing lower and moderate risk controls testing workpapers prepared by SOX GO Testing Consultants; providing appropriate, timely comments/feedback.
• Collaborating with SOX GO COR colleagues, Internal Audit, and Risk counterparts to assess control issues and advance SOX campaign progress; engaging with external audit in various capacities throughout the SOX campaign lifecycle.
• Establishing and maintaining professional, working relationships with control owners and stakeholders; serving as a key point-of-contact for complex control testing-related questions and concerns.
• Participating in special projects and performing other duties as assigned.

• Bachelor's Degree or equivalent in a business-related or IT-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 five years related work experience with knowledge of SOX concepts, practices and procedures, and IT subject-matter proficiency (i.e., IT logical access, change management, and operations); audit experience within public accounting and/or internal audit is a plus.
• Experience with controls, audit, or risk (i.e., IT 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.