Supervision Program Strategist

Dallas, IA - USA

Monthly Salary: Not Disclosed

Posted on: 2 days ago

Vacancies: 1 Vacancy

Job Summary

Career Opportunity Description:

Vanguard Personal Wealth is seeking a Supervision Program Strategist in the Supervision Monitoring & Oversight organization. This individual will play a key role on a team responsible for the design development and execution of strategic initiatives that enhance the firms supervisory framework. The strategist serves as a key architect and integrator of supervisory practices and aligning supervisory models with business strategy and regulatory expectations and enabling scalable risk-based oversight. This role is highly cross-functional requiring deep subject matter expertise in advisory supervision and the ability to lead complex initiatives in partnership with Compliance Risk Legal and business stakeholders.

Details:

Assist with the design and implementation of supervision initiatives supporting the development and application of supervisory models escalation frameworks and role-based oversight structures.
Help draft and maintain supervisory program documentation such as frameworks operating models and execution playbooks ensuring accuracy and consistency.
Participate in cross-functional working groups to support alignment of supervision practices with regulatory requirements internal policies and business goals.
Assist in integrating supervisory controls into business processes technology platforms and governance routines working closely with relevant teams.
Track industry trends regulatory changes and internal risk indicators to provide input for program improvements and strategic planning.

Qualifications:

Bachelors degree required; advanced degree (JD MBA or related field) preferred.
Minimum 8 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 advisory regulatory frameworks including FINRA and SEC.

Excellent communication documentation and stakeholder engagement skills; active FINRA Series 7 and 24 required.

Special Factor(s):

Licensing

If you are offered and accept this position and you do not have the necessary FINRA licenses for the role then you must obtain the required licenses within the specified period of time. Additionally if you are not currently registered with FINRA in any capacity prior to moving into this licensed role you will be asked to provide authorization for Vanguard to conduct a full background check including criminal employment/education history credit and public records search in accordance with FINRA regulations.

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.

Career Opportunity Description:Vanguard Personal Wealth is seeking a Supervision Program Strategist in the Supervision Monitoring & Oversight organization. This individual will play a key role on a team responsible for the design development and execution of strategic initiatives that enhance the fi...