Head of Supervision, Personal Investor

Overview
We’re seeking a strategic forward-thinking Head of Supervision to lead the Personal Investor Supervisory Controls, Governance and Surveillance agenda within the Service and Operational Excellence (S&OE) Organization. This senior level role is pivotal to building a robust and modern supervisory framework that ensures compliance, accountability, and scalable oversight across business channels.  This leader will be responsible for:

• Advancing a risk-intelligent and tech- enabled supervision model, including call and activity surveillance, supported by automation and generative AI.
• Establish a comprehensive governance framework that defines supervisory expectations and embeds consistent oversight practices aligned with evolving regulatory expectations. 
• Driving end to end incentive compensation oversight, ensuring programs promote compliance behavior and align with enterprise conduct standards.
• Leading centralized supervision and audit engagement strategies that support front line teams, reinforce policy adherence and identify emerging supervisory risks.

This is a critical leadership opportunity for someone who thrives in a dynamic environment and can shape supervision and conduct culture through innovation, influence, and disciplined execution.
Responsibilities

• Lead Supervision Strategy: Define and execute the firms supervision model across functions, with a strong focus on modernization, automation, and Gen AI integration.
• Modernize Surveillance: Build and execute a scalable surveillance framework to monitor representative behavior and ensure compliance.
• Oversee Governance: Drive governance routines and reporting for Supervision, BDOC, Renumeration, and incentive compensation ensuring accountability and alignment with firmwide risk appetite and regulatory standards.
• Deliver Insightful Reporting: Produce data driven insights on supervisory health and behavioral trends to inform executive decision making and drive continuous improvement.
• Drive Conduct Risk Awareness: Embed supervisory responsibilities and ethical conduct expectations into frontline practices.
• Engage with Internal and External Stakeholders: Partner closely with Legal, Compliance, Risk and Audit to strengthen supervisory oversight and manage regulatory obligations.

Qualifications

• Minimum of ten years related work experience. Supervisory experience preferred.
• Undergraduate degree or equivalent combination of training and experience. Graduate degree preferred.
• Deep expertise in broker-dealer supervision and relevant supervisory control regulations.
• Strong knowledge of Broker Dealer compliance, front-line supervisory practices, and incentive compensation governance.
• Demonstrated ability to lead large scale supervision and surveillance modernization initiatives.
• Executive presence and relationship building skills to influence across senior stakeholders and regulatory bodies.
• Ability to translate complex data and behavioral analytics into actionable insights.
• Experience leading or supporting a formal governance body is strongly desirable. 
• Comfort with ambiguity and ability to lead through complexity and change.
• FINRA SIE, Series 7, 63 and 24 licenses required.
   

Why This Role Matters

As the S&OE continues to evolve, this role will be instrumental in transforming how we supervise, govern, and guide ethical behavior across the business. You’ll play a critical role in enhancing conduct risk management, supporting business integrity, and enabling compliant growth in a rapidly changing regulatory landscape.

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.