Director, Supervision Program Senior Strategist

Vanguard UK

Hybrid
Supervision program design expertise
Risk-based monitoring implementation
Broker-dealer regulatory frameworks
The role involves leading the design and implementation of strategic supervision initiatives including developing supervisory models and escalation frameworks

Job Summary

  • The role involves leading the design and implementation of strategic supervision initiatives including developing supervisory models and escalation frameworks.
  • Candidates must possess deep understanding of broker-dealer regulatory frameworks such as FINRA, SEC, and state regulations to ensure compliance.
  • Vanguard operates on a mission-driven culture with a hybrid working model designed to enhance flexibility while enabling in-person collaboration.

Matching Summary

The role involves leading the design and implementation of strategic supervision initiatives including developing supervisory models and escalation frameworks.

Skills & Requirements

Must-have

  • Supervision program design expertise
  • Risk-based monitoring implementation
  • Broker-dealer regulatory frameworks
  • Cross-functional working group coordination
  • Regulatory exam preparation support

Nice-to-have

  • Thought leadership in strategy
  • Change management capabilities
  • Long-term client wellbeing focus
  • Hybrid work model collaboration

Key Requirements

  • Bachelor's degree required; advanced degree preferred
  • Minimum 10 years financial services experience
  • At least 5 years in supervision or risk management
  • Active FINRA Series 7 and 24 licenses required
  • No visa sponsorship available for this position

Work Rights

Not specified

Tailored Resume

Cover Letter