Director of Supervision Surveillance & Monitoring

Core Responsibilities

1. Lead, develop, and mentor a high-performing surveillance team, including setting clear objectives, managing performance, building subject-matter expertise, and fostering a culture of accountability, collaboration, and continuous improvement.

2. Design and execute the firm’s risk-based monitoring and detections program across customer interactions, trading, operations, communications, product distribution, and employee conduct.

3. Oversee the development and calibration of surveillance analytics, pattern detection scenarios, and alert thresholds to identify emerging risks and behavioral anomalies.

4. Direct the triage, investigation, and escalation of surveillance alerts, ensuring consistent application of disposition standards and documentation protocols.

5. Govern the surveillance program through a formal charter, scenario documentation, QA standards, and operating procedures aligned with regulatory expectations.

6. Manage governance records, issue logs, and periodic validations; prepare management reporting with trend insights, themes, and remediation tracking.

7. Collaborate with Technology and Data teams to enhance surveillance platforms, case management tools, and AI/ML-enabled detection capabilities.

8. Partner with Supervision, Compliance, Legal, and Risk to ensure surveillance insights are integrated into broader conduct risk and supervisory frameworks.

9. Acts as Registered Principal Responsible and works with delegates to review applicable current and future regulatory requirements in order to ensure effective Written Supervisory Procedures (WSPs) are in place

10. Participates in special projects and performs other duties as assigned.

Qualifications

·       Bachelor’s degree required; advanced degree (JD, MBA, or related field) preferred.

·       10+ years of financial services experience, including 5+ years in surveillance, supervision, compliance, or risk management.

·       Proven leadership experience managing teams and driving complex, cross-functional, data-driven initiatives.

·       Strong knowledge of broker-dealer regulatory frameworks (FINRA, SEC, state regulations) and surveillance governance standards.

·       Expertise in surveillance tools, data analytics, alert management, and investigative practices.

·       Excellent communication, documentation, and stakeholder engagement skills; active FINRA Series 7 and 24 required; Series 9/10 preferred.

Special Factors

Sponsorship

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.