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
Vanguard Charlotte, North Carolina, USA Office
Two North Falls Plaza, Charlotte, NC, United States, 28217
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