Director, Supervision Technology Enablement

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

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.