Craig McFarlane

Experience

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  Vanguard

  Nov 2005 - Dec 2020

  Implemented a third-party oversight framework for the Canadian leadership team to maximize value obtained from over 30 key investment and marketing suppliers, a first for the Americas region.Provided Enterprise Risk guidance and support including Operational Risk Management, Business Contingency Management, Data Governance & Privacy. Formalized Key and Regulatory Controls for Vanguard’s Americas region increasing management’s focus on critical functions for the Canadian and Latin America businesses, eliminated non-value-added manual controls and enabled risk-based decision making.Streamlined regional risk data and reporting leveraging an Archer-based GRC platform creating alignment to industry and enterprise standards. Show less Coordinated the development of the Americas annual strategic business plan enabling the Americas executive leadership team and Finance to prioritize short and long-term strategic initiatives with over $36B in AUM.Oversaw the design, development and distribution of executive communications including risk reporting and presentations as well as monthly and quarterly executive reports.Served as the primary resource in conjunction with the Principal and Head of Americas for the design and development of leadership communications, monthly and quarterly executive reports, and leadership offsites. Show less Successfully led change efforts applying Vanguard’s change methodology to prepare Vanguard’s equity investment and back-office teams across the US, UK and Australia for the implementation of a new internally developed portfolio construction application and an externally sourced investment data hub.Partnered with global stakeholders across Investment Management, Enterprise Financial Services, and IT to manage the impact of rapidly changing processes and technology through communication, training, and other business readiness activities.Worked with Enterprise Supplier Management to develop the Change Management framework for a newly established Vendor Management Office within Global Investment Shared Services. Show less Established partnerships with Vanguard’s client facing and legal teams to enhance the Required Minimum Distribution (RMD) service.Led a team to successfully administer the RMD service for over 250 institutional clients.Introduced the Agile methodology to the team’s business processes to successfully manage the data reconciliation and distribution of over 2,000 at-risk participant accounts.Led a team of recordkeeping transaction processing associates through daily coaching and development.Successfully managed plan and participant level processing for 26 institutional defined contribution and defined benefit clients.Effectively partnered with the department’s Control & Governance to adhere to and enhance compliance standards for client-specific and operations-wide processes. Show less

  • Senior Risk Analyst

    Jul 2018 - Dec 2020

  • Chief Of Staff - The Americas

    Apr 2017 - Jul 2018

  • Change Management Lead

    Jul 2013 - Apr 2017

  • Supervisor, Institutional Recordkeeping Services

    Jun 2010 - Jul 2013

  • Technology Project Lead

    Nov 2005 - Jun 2010
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  Craig McFarlane Images

  Jun 2008 - Dec 2024

  Photographer

  Photographer/Photojournalist

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  Infosys BPM

  Dec 2020 - Feb 2025

  Risk & Controls Manager

  Lead oversight and comprehensive reporting of controls, risk issue management and business continuity management across multiple business lines. Drove the design and implementation of control changes throughout Institutional Client Administration serving over 1,500 Vanguard clients with over $706B in AUM. Improved and sustained YOY operational and regulatory control effectiveness above service level to 98%.Served as department liaison to the internal and external auditors and compliance teams. Collaborated with client teams and leaders on all audit activities and lead action planning and risk remediation efforts.Provided consultation, risk framework expertise and communications to the business and senior leaders ensuring adherence to critical risk SLAs. Improved risk issue action plan timeliness for department by 85%.Lead the Plan Setup Quality Assurance and Plan Audit teams providing oversight of KPIs and team development. Show less