Director, Supervision Technology Enablement

Core Responsibilities

• Lead the end-to-end design implementation and execution of the supervision technology roadmap including case management platforms surveillance tools workflow automation and reporting solutions.

• Lead develop and mentor a high-performing team responsible for supervision technology enablement including setting clear objectives managing performance building subject-matter expertise and fostering a culture of accountability collaboration and continuous improvement.

• Serve as the primary liaison between Supervision and Technology/Data teams translating supervisory requirements into scalable user-centric digital solutions.

• Oversee the development and integration of data pipelines dashboards and analytics that support real-time monitoring risk detection and performance reporting.

• Partner with the Supervision Program Senior Strategist Surveillance and Governance leaders to ensure technology solutions align with supervisory frameworks escalation protocols and control documentation standards.

• Manage the intake prioritization and delivery of supervision-related technology enhancements including backlog management sprint planning and user acceptance testing.

• Ensure all supervisory systems meet regulatory compliance and audit requirements with appropriate controls for evidence retention data integrity and access management.

• Lead change management efforts related to new supervision tools including training communications and adoption support for end users.

• Promote a culture of innovation continuous improvement and digital enablement within the Supervision organization.

Qualifications

• Bachelors degree required; advanced degree in technology business or related field preferred.

• 10 years of experience in financial services with at least 5 years in technology enablement digital transformation or risk/supervision systems implementation.

• Proven experience leading cross-functional technology initiatives in a regulated environment.

• Strong understanding of broker-dealer supervision compliance and risk management frameworks.

• Demonstrated expertise in workflow design data architecture and platform integration.

• Excellent communication stakeholder engagement and project execution skills.

• Familiarity with regulatory requirements (e.g. FINRA) and their application in supervisory systems.

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.