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.