Director, Supervision Governance

Scottsdale, AZ - USA

Monthly Salary: Not Disclosed

Posted on: 21 hours ago

Vacancies: 1 Vacancy

Job Summary

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) 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:

Bachelors 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.

Special Factors

Sponsorship

Vanguard is not offering visa sponsorship for this position.

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.

Required Experience:

Director

Key ResponsibilitiesLead 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 su...