Director, Supervision Program Senior Strategist

Scottsdale, AZ - USA

Monthly Salary: Not Disclosed

Posted on: Yesterday

Vacancies: 1 Vacancy

Job Summary

Core 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.

Qualifications:

Bachelors degree required; advanced degree (JD MBA or related field) preferred.

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; Series 9/10 preferred.

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

Core 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 r...