Career Opportunity Description:
Vanguard Personal Wealth is seeking a Supervision Program Strategist in the Supervision, Monitoring & Oversight organization. This individual will play a key role on a team responsible for the design, development, and execution of strategic initiatives that enhance the firm’s supervisory framework. The strategist serves as a key architect and integrator of supervisory practices and aligning supervisory models with business strategy and regulatory expectations, and enabling scalable, risk-based oversight. This role is highly cross-functional, requiring deep subject matter expertise in advisory supervision and the ability to lead complex initiatives in partnership with Compliance, Risk, Legal, and business stakeholders.
Details:
- Assist with the design and implementation of supervision initiatives, supporting the development and application of supervisory models, escalation frameworks, and role-based oversight structures.
- Help draft and maintain supervisory program documentation, such as frameworks, operating models, and execution playbooks, ensuring accuracy and consistency.
- Participate in cross-functional working groups to support alignment of supervision practices with regulatory requirements, internal policies, and business goals.
- Assist in integrating supervisory controls into business processes, technology platforms, and governance routines, working closely with relevant teams.
- Track industry trends, regulatory changes, and internal risk indicators to provide input for program improvements and strategic planning.
Qualifications:
• Bachelor’s degree required; advanced degree (JD, MBA, or related field) preferred.
• Minimum 8 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 advisory regulatory frameworks, including FINRA and SEC.
• Excellent communication, documentation, and stakeholder engagement skills; active FINRA Series 7 and 24 required.
Special Factor(s):
Licensing
If you are offered and accept this position, and you do not have the necessary FINRA licenses for the role, then you must obtain the required licenses within the specified period of time. Additionally, if you are not currently registered with FINRA in any capacity, prior to moving into this licensed role, you will be asked to provide authorization for Vanguard to conduct a full background check, including criminal, employment/education history, credit, and public records search in accordance with FINRA regulations.
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.
