Director, Supervision Program Senior Strategist jobs in United States
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Vanguard · 1 day ago

Director, Supervision Program Senior Strategist

positionScottsdale, AZ
timeFull-time
remoteHybrid
senioritySenior Level, Lead/Staff
date10+ years exp

Vanguard is dedicated to the long-term financial wellbeing of its clients and is seeking a Director, Supervision Program Senior Strategist to lead strategic supervision initiatives. The role involves designing supervisory models, coordinating cross-functional working groups, and providing thought leadership on program design and change management.

FinanceFinancial Services
badNo H1Bnote

Responsibilities

Lead the design and implementation of strategic supervision initiatives, including the development of supervisory models, escalation frameworks, and role-based oversight structures
Serve as a subject matter expert and program lead for supervision modernization efforts, including risk-based monitoring, digital enablement, and control optimization
Develop and maintain supervisory program documentation, including frameworks, operating models, and execution playbooks
Coordinate cross-functional working groups to align supervision practices with regulatory expectations, internal policies, and business objectives
Support the uplift and integration of supervisory controls into business processes, technology platforms, and governance routines
Monitor industry trends, regulatory developments, and internal risk indicators to inform program enhancements and strategic planning
Contribute to regulatory exams, internal audits, and supervisory certifications by preparing program documentation and evidence of execution
Provide thought leadership and strategic support to the Head of Supervision on program design, change management, and long-term supervision strategy

Qualification

Supervision program designRisk managementProject managementBroker-dealer regulationsStakeholder engagementChange leadershipFINRA Series 7FINRA Series 24Communication skillsDocumentation skills

Required

Bachelor's degree required
Minimum 10 years of experience in financial services, with at least 5 years in supervision, compliance, or risk management roles
Demonstrated expertise in supervision program design, control implementation, and strategic execution
Strong project management and change leadership skills; ability to drive cross-functional initiatives from concept to execution
Deep understanding of broker-dealer regulatory frameworks, including FINRA, SEC, and state regulations
Excellent communication, documentation, and stakeholder engagement skills
Active FINRA Series 7 and 24 required

Preferred

Advanced degree (JD, MBA, or related field) preferred
Series 9/10 preferred

Company

Vanguard

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Glassdoor3.7
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Check is a client-owned investment company that offers low-cost mutual funds, ETFs, advice, and related services.
dateFounded in 1975
location
Kelayres, Pennsylvania, USA
people-size10001+ employees
web-link
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

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Salim Ramji
Chief Executive Officer
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Andrew Maack
Principal, Head of US Equity Index Portfolio Management
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