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.
Top Skills
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.
