Vanguard

Compensation

Full Description

Core Responsibilities • Lead the design and implementation of strategic supervision initiatives, including the development of supervisory models, escalation frameworks, and role-based oversight structures. • Serve as a subject matter expert and program lead for supervision modernization efforts, including risk-based monitoring, digital enablement, and control optimization. • Develop and maintain supervisory program documentation, including frameworks, operating models, and execution playbooks. • Coordinate cross-functional working groups to align supervision practices with regulatory expectations, internal policies, and business objectives. • Support the uplift and integration of supervisory controls into business processes, technology platforms, and governance routines. • Monitor industry trends, regulatory developments, and internal risk indicators to inform program enhancements and strategic planning. • Contribute to regulatory exams, internal audits, and supervisory certifications by preparing program documentation and evidence of execution. • Provide thought leadership and strategic support to the Head of Supervision on program design, change management, and long-term supervision strategy. Qualifications: • Bachelor’s degree required; advanced degree (JD, MBA, or related field) preferred. • Minimum 10 years of experience in financial services, with at least 5 years in supervision, compliance, or risk management roles. • Demonstrated expertise in supervision program design, control implementation, and strategic execution. • Strong project management and change leadership skills; ability to drive cross-functional initiatives from concept to execution. • Deep understanding of broker-dealer regulatory frameworks, including FINRA, SEC, and state regulations. • Excellent communication, documentation, and stakeholder engagement skills; active FINRA Series 7 and 24 required; Series 9/10 preferred. Special Factors Sponsorship Vanguard is not offering visa sponsorship for this position. About Vanguard At Vanguard, we don't just have a mission—we're on a mission. To work for the long-term financial wellbeing of our clients. To lead through product and services that transform our clients' lives. To learn and develop our skills as individuals and as a team. From Malvern to Melbourne, our mission drives us forward and inspires us to be our best. 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. Vanguard, one of the world's largest 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. This website uses "cookies" to distinguish you from other users. A cookie is a small file of letters and numbers placed on your computer or device. This helps us to provide you with a good experience when you browse our website and also allows us to improve our site and services. The cookies are stored locally on your computer or mobile device. To accept cookies you can continue browsing as normal. Or you can go to our Privacy Policy to read more information and learn how to change your preferences.