Core Responsibilities
Lead the end-to-end design, implementation, and execution of the supervision technology roadmap, including case management platforms, surveillance tools, workflow automation, and reporting solutions.
Lead, develop, and mentor a high-performing team responsible for supervision technology enablement, including setting clear objectives, managing performance, building subject-matter expertise, and fostering a culture of accountability, collaboration, and continuous improvement.
Serve as the primary liaison between Supervision and Technology/Data teams, translating supervisory requirements into scalable, user-centric digital solutions.
Oversee the development and integration of data pipelines, dashboards, and analytics that support real-time monitoring, risk detection, and performance reporting.
Partner with the Supervision Program Senior Strategist, Surveillance, and Governance leaders to ensure technology solutions align with supervisory frameworks, escalation protocols, and control documentation standards.
Manage the intake, prioritization, and delivery of supervision-related technology enhancements, including backlog management, sprint planning, and user acceptance testing.
Ensure all supervisory systems meet regulatory, compliance, and audit requirements, with appropriate controls for evidence retention, data integrity and access management.
Lead change management efforts related to new supervision tools, including training, communications, and adoption support for end users.
Promote a culture of innovation, continuous improvement, and digital enablement within the Supervision organization.
Qualifications
Bachelor’s degree required; advanced degree in technology, business, or related field preferred.
10+ years of experience in financial services, with at least 5 years in technology enablement, digital transformation, or risk/supervision systems implementation.
Proven experience leading cross-functional technology initiatives in a regulated environment.
Strong understanding of broker-dealer supervision, compliance, and risk management frameworks.
Demonstrated expertise in workflow design, data architecture, and platform integration.
Excellent communication, stakeholder engagement, and project execution skills.
Familiarity with regulatory requirements (e.g., FINRA 3110, 3120, 3130) and their application in supervisory systems.
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.
