Broker-dealer written supervisory procedures management
Finra rules 3110, 3120, 3130 knowledge
Supervisory control testing program oversight
The role involves leading the firm-wide governance and oversight of broker dealer Written Supervisory Procedures including drafting and updating policies
Job Summary
The role involves leading the firm-wide governance and oversight of broker dealer Written Supervisory Procedures including drafting and updating policies.
Candidates must possess deep understanding of broker-dealer regulatory frameworks including FINRA, SEC, and state securities regulations.
Vanguard fosters a mission-driven culture focused on long-term client financial wellbeing through enhanced flexibility and collaboration.
Matching Summary
The role involves leading the firm-wide governance and oversight of broker dealer Written Supervisory Procedures including drafting and updating policies.
Skills & Requirements
Must-have
Broker-dealer Written Supervisory Procedures management
FINRA Rules 3110, 3120, 3130 knowledge
Supervisory control testing program oversight
Team leadership for supervision analysts
Regulatory policy development and vetting
Nice-to-have
Strategic leadership on supervision modernization
Data-driven oversight model implementation
Cross-functional collaboration with Legal
Culture of accountability and risk awareness
Technology implementation experience
Key Requirements
Bachelor's degree required; JD or MBA preferred
Minimum 10 years in brokerage financial services
At least 5 years in supervision or compliance roles