Senior Divisional Risk Advisor; Retirement/ERISA)
Listed on 2026-10-05
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Finance & Banking
Risk Manager/Analyst, Financial Compliance, Regulatory Compliance Specialist
The Workplace Solutions mission is simple and bold: deliver investment success to millions of workers participating in employer‑sponsored retirement plans. We do this by designing smart, tailored plans for sponsors and delivering high‑quality participant experiences.
Vanguard’s Workplace Solutions team supports defined contribution plan sponsors and participants through recordkeeping, administration, and trust/custody services. Operating at the heart of a complex fiduciary environment—anchored in ERISA and aligned with IRS and DOL requirements—we’re seeking a Senior Divisional Risk Advisor to shape and elevate our risk strategy.
In this role, you’ll bring deep ERISA expertise to guide business decisions, build trusted partnerships with senior leaders, and strengthen a control environment that spans operations, technology, and client service. You will be a trusted risk advisor—designing and leading the Workplace Solutions risk program, providing credible and effective challenge, fostering a risk‑smart, forward‑looking culture. Leveraging Vanguard’s operational and strategic risk frameworks, you’ll align divisional controls with enterprise standards, help teams anticipate emerging risks in retirement services, and ensure we deliver for sponsors and participants with confidence and care.
Responsibilities- Lead the divisional risk strategy: set the vision, roadmap, and continuously evolve risk capabilities.
- Embed ERISA‑centric fiduciary risk management: provide authoritative guidance on ERISA fiduciary standards, IRS requirements, and trust/custody controls.
- Strengthen controls & assurance: establish risk and control oversight, adherence to standards, metrics, reporting, and drive remediation.
- Advise on change & innovation: engage early with teams advancing new services, solutions, and operating model changes, ensuring control design and risk mitigation.
- Provide credible challenge & oversight: bring independent perspective to risk acceptance decisions and enable risk‑informed decision making.
- Cultivate a risk‑smart culture: build relationships and serve as a thought partner while stewarding adoption of enterprise frameworks.
- Represent the division: partner with enterprise risk, legal, compliance, audit, external stakeholders and participate in special projects and industry forums.
- Minimum eight years related work experience, with 5 years in risk management within retirement services, trust/custody, or fiduciary operations and deep command of ERISA, IRS rules, and DOL oversight.
- Hands‑on mastery of operational risk frameworks and control assurance (design, testing, monitoring, reporting).
- Exceptional communicator and strategic thinker who shapes outcomes through strong judgement and stakeholder buy‑in.
- A natural explorer who asks sharp questions, seeks context, learns fast, and brings external insight into conversation.
- Savvy connector who links ideas, people, technology, and processes across a complex organization.
- Informal leader who role‑models a culture of investor zeal, inclusion, tenacity, and integrity, and invests in developing the team.
- Undergraduate degree required; graduate degree preferred (JD, MBA, MS in Risk/Finance).
Vanguard is not offering visa sponsorship for this position.
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