Key Responsibilities
Lead the firm-wide governance and oversight of broker dealer Written Supervisory Procedures (WSPs), including drafting, updating, and coordinating policy changes in response to regulatory developments, end-to-end business activity, and internal control enhancements.
Manage a team of supervision analysts and/or supervisory principals responsible for executing supervisory reviews, control testing, and procedural documentation.
Facilitate governance routines, including supervisory committees, policy vetting cycles, and internal audits; prepare agendas, minutes, and follow-up actions.
Partner with Compliance and Legal to ensure supervisory procedures align with regulatory requirements (e.g., FINRA Rules 3110, 3120, 3130) and firm policies.
Oversee supervisory control testing programs and contribute to annual supervisory certifications and reports to senior management.
Provide strategic leadership on supervision modernization initiatives, including technology implementations, data-driven oversight models, and process improvements.
Serve as escalation point for supervisory issues identified across business units; coordinate remediation plans and ensure timely resolution.
Support training and development of supervisory staff; foster a culture of accountability, risk awareness, and continuous improvement.
Provide thought leadership and collaborate with business leaders to ensure existing or new products, services, and strategic initiatives have required supervision necessary to meeting regulatory obligations.
Qualifications:
Bachelor’s degree required; advanced degree (JD, MBA) preferred.
Minimum 10 years of experience in brokerage financial services, with at least 5 years in supervision, compliance, or risk management roles.
Demonstrated experience managing teams and leading cross-functional initiatives.
Deep understanding of broker-dealer regulatory framework, including FINRA, SEC, and state securities regulations.
Strong writing, communication, and presentation skills; ability to influence across organizational levels.
Active FINRA licenses required: Series 7, Series 24, 9/10, or equivalent supervisory licenses required.
Experience with governance routines, policy development, and supervisory control testing.
Proven ability to manage complex projects and drive organizational change.
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.
Skills Required
- Bachelor's degree required; advanced degree preferred
- Minimum 10 years of experience in brokerage financial services
- At least 5 years in supervision, compliance, or risk management roles
- Active FINRA licenses required: Series 7, Series 24, 9/10
Vanguard Compensation & Benefits Highlights
The following summarizes recurring compensation and benefits themes identified from responses generated by popular LLMs to common candidate questions about Vanguard and has not been reviewed or approved by Vanguard.
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Retirement Support — Retirement support appears unusually strong through a 401(k) design that includes a match plus an additional employer contribution, which can materially lift long-term total rewards. HSA seeding and an enhanced employer match further strengthen the savings-and-benefits value of the package.
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Wellbeing & Lifestyle Benefits — Wellbeing and lifestyle support is reinforced by a sizable annual FlexFund stipend that can be applied across many day-to-day categories such as fitness, childcare, and other personal expenses. On-site or virtual clinics and fitness options add practical health and wellness convenience.
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Affordable Benefits — Healthcare and related benefits are positioned as comparatively affordable via heavily subsidized medical plans and broad coverage options. This affordability can offset moderate base pay for employees who place higher value on out-of-pocket cost reductions.
Vanguard Insights
What We Do
We are a community of 30 million who think – and feel – differently about investing. Together, we’re changing the way the world invests. Since our founding in 1975, helping our investors achieve their goals is our sole reason for existence. With no other parties to answer to and therefore no conflicting loyalties, we make every decision—like keeping investing costs as low as possible—with only your needs in mind. Vanguard is one of the world's largest investment companies, offering a large selection of high-quality low-cost mutual funds, ETFs, advice, and related services. Individual and institutional investors, financial professionals, and plan sponsors can benefit from the size, stability, and experience Vanguard offers. As of April 30, 2019, we managed more than $5.6 trillion in global assets. In addition, we have 189 funds in the United States and 225 funds in global markets. For Commenting Guidelines & Important information, visit here: http://vanguard.com/linkedin Vanguard Marketing Corporation, Distributor.
