Director, Broker Dealer Supervision Senior Strategist
About The Position
The Supervision Senior Strategist is a senior-level role within the Supervision organization, reporting to the Head of Broker Dealer Supervision & Surveillance. This role is responsible for the design, development, and execution of strategic initiatives that enhance the firm’s supervisory framework. The strategist serves as a key architect and integrator of supervisory practices, driving modernization efforts, 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 broker-dealer supervision and the ability to lead complex initiatives in partnership with Compliance, Risk, Legal, and business stakeholders.
Requirements
- Bachelor’s degree required; advanced degree (JD, MBA, or related field) preferred.
- Minimum 10 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 broker-dealer regulatory frameworks, including FINRA, SEC, and state regulations.
- Excellent communication, documentation, and stakeholder engagement skills.
- Active FINRA Series 7 and 24 required.
- Series 9/10 is a plus.
Nice To Haves
- Advanced degree (JD, MBA, or related field) preferred.
- Series 9/10 is a plus.
Responsibilities
- Lead the design and implementation of strategic supervision initiatives, including the development of supervisory models, escalation frameworks, and role-based oversight structures.
- Serve as a subject matter expert and program lead for supervision modernization efforts, including risk-based monitoring, digital enablement, and control optimization.
- Develop and maintain supervisory program documentation, including frameworks, operating models, and execution playbooks.
- Coordinate cross-functional working groups to align supervision practices with regulatory expectations, internal policies, and business objectives.
- Support the uplift and integration of supervisory controls into business processes, technology platforms, and governance routines.
- Monitor industry trends, regulatory developments, and internal risk indicators to inform program enhancements and strategic planning.
- Contribute to regulatory exams, internal audits, and supervisory certifications by preparing program documentation and evidence of execution.
- Provide thought leadership and strategic support to the Head of Supervision on program design, change management, and long-term supervision strategy.
Benefits
- Vanguard is not offering visa sponsorship for this position.
Stand Out From the Crowd
Upload your resume and get instant feedback on how well it matches this job.
What This Job Offers
Job Type
Full-time
Career Level
Director
