Director, Supervision Governance
Vanguard
full-time
Posted on:
Location Type: Hybrid
Location: Malvern • Arizona • North Carolina • United States
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Job Level
About the role
- Lead the firm-wide governance and oversight of broker-dealer Written Supervisory Procedures (WSPs)
- Manage a team of supervision analysts and/or supervisory principals responsible for executing supervisory reviews, control testing, and procedural documentation.
- Facilitate governance routines, including supervisory committees, policy vetting cycles, and internal audits; prepare agendas, minutes, and follow-up actions.
- Partner with Compliance and Legal to ensure supervisory procedures align with regulatory requirements.
- Oversee supervisory control testing programs and contribute to annual supervisory certifications and reports to senior management.
- Provide strategic leadership on supervision modernization initiatives.
- Serve as escalation point for supervisory issues identified across business units; coordinate remediation plans and ensure timely resolution.
- Support training and development of supervisory staff; foster a culture of accountability, risk awareness, and continuous improvement.
- Provide thought leadership and collaborate with business leaders to ensure existing or new products, services, and strategic initiatives have required supervision necessary to meeting regulatory obligations.
Requirements
- Bachelor’s degree required; advanced degree (JD, MBA) preferred.
- Minimum 10 years of experience in brokerage financial services, with at least 5 years in supervision, compliance, or risk management roles.
- Demonstrated experience managing teams and leading cross-functional initiatives.
- Deep understanding of broker-dealer regulatory framework, including FINRA, SEC, and state securities regulations.
- Active FINRA licenses required: Series 7, Series 24, 9/10, or equivalent supervisory licenses required.
Benefits
- Hybrid working model
- Professional development opportunities
Applicant Tracking System Keywords
Tip: use these terms in your resume and cover letter to boost ATS matches.
Hard Skills & Tools
supervisory reviewscontrol testingprocedural documentationsupervisory control testing programssupervisory certificationsrisk managementcompliancegovernance routinespolicy vettingtraining and development
Soft Skills
leadershipteam managementcollaborationstrategic thinkingaccountabilityrisk awarenesscontinuous improvementproblem-solvingcommunicationfacilitation
Certifications
Series 7Series 24Series 9Series 10FINRA licenses