Head of Supervision, Personal Investor

Overview

Were seeking a strategic forward-thinkingHead of Supervisionto lead the Personal Investor Supervisory Controls Governance and Surveillance agenda within the Service and Operational Excellence (S&OE) Organization. This senior level role is pivotal to building a robust and modern supervisory framework that ensures compliance accountability and scalable oversight across business channels. This leader will be responsible for:

• Advancing a risk-intelligent and tech- enabled supervision model including call and activity surveillance supported by automation and generative AI.
• Establish a comprehensive governance framework that defines supervisory expectations and embeds consistent oversight practices aligned with evolving regulatory expectations.
• Driving end to end incentive compensation oversight ensuring programs promote compliance behavior and align with enterprise conduct standards.
• Leading centralized supervision and audit engagement strategies that support front line teams reinforce policy adherence and identify emerging supervisory risks.

This is a critical leadership opportunity for someone who thrives in a dynamic environment and can shape supervision and conduct culture through innovation influence and disciplined execution.

Responsibilities

• Lead Supervision Strategy:Define and execute the firms supervision model across functions with a strong focus on modernization automation and Gen AI integration.
• Modernize Surveillance:Build and execute a scalable surveillance framework to monitor representative behavior and ensure compliance.
• Oversee Governance:Drive governance routines and reporting for Supervision BDOC Renumeration and incentive compensation ensuring accountability and alignment with firmwide risk appetite and regulatory standards.
• Deliver Insightful Reporting:Produce data driven insights on supervisory health and behavioral trends to inform executive decision making and drive continuous improvement.
• Drive Conduct Risk Awareness: Embed supervisory responsibilities and ethical conduct expectations into frontline practices.
• Engage with Internal and External Stakeholders: Partner closely with Legal Compliance Risk and Audit to strengthen supervisory oversight and manage regulatory obligations.

Qualifications

• Minimum of ten years related work experience. Supervisory experience preferred.
• Undergraduate degree or equivalent combination of training and experience. Graduate degree preferred.
• Deepexpertise in broker-dealer supervisionand relevant supervisory control regulations.
• Strong knowledge of Broker Dealer compliance front-line supervisory practices and incentive compensation governance.
• Demonstrated ability to lead large scale supervision and surveillance modernization initiatives.
• Executive presence and relationship building skills to influence across senior stakeholders and regulatory bodies.
• Ability to translate complex data and behavioral analytics into actionable insights.
• Experience leading or supporting a formal governance body is strongly desirable.
• Comfort withambiguityand ability to lead through complexity and change.
• FINRA SIE Series 7 63 and 24 licenses required.
  

Why This Role Matters

As the S&OE continues to evolve this role will be instrumental in transforming how we supervise govern and guide ethical behavior across the business. Youll play a critical role in enhancing conduct risk management supporting business integrity and enabling compliant growth in a rapidly changing regulatory landscape.

Special Factors

Sponsorship

About Vanguard

At Vanguard we dont just have a missionwere 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.