Director, Supervision Governance

Key Responsibilities

• Lead the firm-wide governance and oversight of broker dealer Written Supervisory Procedures (WSPs), including drafting, updating, and coordinating policy changes in response to regulatory developments, end-to-end business activity, and internal control enhancements.

• 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 (e.g., FINRA Rules 3110, 3120, 3130) and firm policies.

• Oversee supervisory control testing programs and contribute to annual supervisory certifications and reports to senior management.

• Provide strategic leadership on supervision modernization initiatives, including technology implementations, data-driven oversight models, and process improvements.

• 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.  

Qualifications:

• 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.

• Strong writing, communication, and presentation skills; ability to influence across organizational levels.

• Active FINRA licenses required: Series 7, Series 24, 9/10, or equivalent supervisory licenses required.

• Experience with governance routines, policy development, and supervisory control testing.

• Proven ability to manage complex projects and drive organizational change.

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.