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Vanguard · 20 hours ago

Director, Supervision Governance

Malvern, PA

Full-time

Hybrid

Senior Level, Lead/Staff

10+ years exp

Vanguard is a company focused on the long-term financial wellbeing of its clients. They are seeking a Director of Supervision Governance to lead the governance and oversight of broker dealer Written Supervisory Procedures, manage a team of analysts, and ensure compliance with regulatory requirements.

FinanceFinancial Services

No H1B

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

Qualification

Broker-dealer regulatory frameworkSupervision compliance experienceActive FINRA licensesPolicy developmentTeam managementCommunication skillsProject management

Required

Bachelor's degree required

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

Preferred

advanced degree (JD, MBA) preferred

Company

Vanguard

Glassdoor3.7

Check is a client-owned investment company that offers low-cost mutual funds, ETFs, advice, and related services.

Founded in 1975

Kelayres, Pennsylvania, USA

10001+ employees

http://investor.vanguard.com/corporate-portal

Funding

Current Stage

Late Stage

Total Funding

unknown

Key Investors

ic@3401

2017-03-31Non Equity Assistance

Leadership Team

Salim Ramji

Chief Executive Officer

Andrew Maack

Principal, Head of US Equity Index Portfolio Management

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Company data provided by crunchbase