Director Of Supervision Surveillance & Monitoring

Vanguard UK

Hybrid
Surveillance program management
Risk-based monitoring execution
Alert investigation and triage
Vanguard UK is seeking a Director of Supervision Surveillance & Monitoring to lead a surveillance team, enhance risk detection programs, and ensure compliance with regulatory standards. The ideal candidate will have extensive experience in financial services, particularly in surveillance and compliance, along with strong leadership and analytical skills

Job Summary

  • The role involves leading a high-performing surveillance team while designing and executing the firm's risk-based monitoring and detection program across all customer interactions and trading activities.
  • Candidates must possess strong knowledge of broker-dealer regulatory frameworks including FINRA and SEC regulations to ensure effective Written Supervisory Procedures are in place.
  • Vanguard operates on a hybrid working model designed to capture the benefits of enhanced flexibility while enabling in-person learning and collaboration.

Matching Summary

Match Score: 85

Vanguard UK is seeking a Director of Supervision Surveillance & Monitoring to lead a surveillance team, enhance risk detection programs, and ensure compliance with regulatory standards. The ideal candidate will have extensive experience in financial services, particularly in surveillance and compliance, along with strong leadership and analytical skills.

Skills & Requirements

Must-have

  • surveillance program management
  • risk-based monitoring execution
  • alert investigation and triage
  • regulatory compliance governance
  • FINRA Series 7 and 24 required

Nice-to-have

  • AI/ML-enabled detection capabilities
  • cross-functional stakeholder engagement
  • continuous improvement culture
  • advanced degree preferred
  • Series 9/10 certification

Key Requirements

  • Bachelor's degree required
  • 10+ years financial services experience
  • 5+ years in surveillance or supervision
  • Active FINRA Series 7 and 24 required
  • No visa sponsorship available

Work Rights

Not specified

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