Director, Supervision Governance
VanguardPennsylvania, United States • Scottsdale, Arizona, United States • Charlotte, North Carolina, United States
Posted February 3, 2026
Full Time
About the Company
Vanguard is a mission-driven company that prioritizes the long-term financial wellbeing of its clients and fosters a collaborative culture.
Job Description
Lead the firm-wide governance and oversight of broker dealer Written Supervisory Procedures (WSPs), manage a team, and partner with Compliance and Legal to ensure supervisory procedures align with regulatory requirements.
Requirements
- Bachelor’s degree required; advanced degree (JD, MBA) preferred.
- Minimum 10 years of experience in brokerage financial services, with at least 5 years in supervision, compliance, or risk management roles.
- Demonstrated experience managing teams and leading cross-functional initiatives.
- Active FINRA licenses required: Series 7, Series 24, 9/10, or equivalent supervisory licenses required.
- Experience with governance routines, policy development, and supervisory control testing.
Benefits
- Generous Paid Time Off
- 401k Matching
- Retirement Plan