Director, Supervision Governance

Vanguard • Malvern, PA

1d

About The Position

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.

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.
• 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.

Nice To Haves

• advanced degree (JD, MBA) preferred.

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.

What This Job Offers

• Job Type: Full-time
• Career Level: Director