Director, Supervision Governance

The Supervision Governance Director is a senior leadership role within the Supervision organization, responsible for the development, maintenance, and governance of the firm’s Written Supervisory Procedures (WSPs) and related supervisory controls. This role ensures that supervisory frameworks are aligned with regulatory expectations, internal compliance policies, and business practices across the broker-dealer. The Director leads a team of expert supervision professionals and collaborates closely with Compliance, Legal, and business units to maintain a robust and scalable supervisory infrastructure.

• 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.

• 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.

Vanguard is not offering visa sponsorship for this position.

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.

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.