Controls and Assurance Specialist

This role plays a key part in strengthening our control environment by assessing, testing and improving operational controls across critical business processes. Working closely with operational, risk and compliance teams, you will help ensure risks are effectively managed, regulatory obligations are met, and customer outcomes remain protected.

Core Responsibilities

• Conduct control design assessments and operating effectiveness testing across business processes.

• Support the identification, analysis and documentation of operational risks and controls.

• Perform walkthroughs and control reviews to assess whether controls are appropriately designed and operating as intended.

• Identify control weaknesses, process gaps and improvement opportunities, clearly documenting risks, root causes and potential impacts.

• Support the development and maintenance of control inventories, risk assessments and assurance documentation.

• Track and monitor remediation activities, ensuring issues are appropriately managed and resolved.

• Contribute to thematic reviews and assurance activities across multiple operational areas.

• Partner with business teams to strengthen risk management practices and embed sustainable controls.

• Support governance reporting by providing clear, evidence-based assessments and insights.

• Identify opportunities to improve efficiency, automation and overall control effectiveness.

 

Qualifications

• Minimum of three years related work experience. One year of experience in audit or risk management preferred.

• Experience within a regulated financial services environment. Ideally within controls, risk, internal audit, compliance or financial services operations.

• Knowledge of FCA regulatory requirements and operational risk frameworks.

• Experience supporting governance forums and risk reporting.

How We Work

Vanguard has implemented a hybrid working model for the majority of our crew members, designed to capture the benefits of enhanced flexibility while enabling in-person learning, collaboration, and connection. We believe our mission-driven and highly collaborative culture is a critical enabler to support long-term client outcomes and enrich the employee experience.

About Us

Vanguard, one of the world's leading investment management companies, serves individual investors, institutions, employer-sponsored retirement plans, and financial professionals. We have a diverse and talented crew with a culture that promotes teamwork, along with an unwavering focus on serving our clients' best interests.