Director, Supervision Technology Enablement

Vanguard • Malvern, PA

2d • Hybrid

About The Position

Core Responsibilities Lead the end-to-end design, implementation, and execution of the supervision technology roadmap, including case management platforms, surveillance tools, workflow automation, and reporting solutions. Lead, develop, and mentor a high-performing team responsible for supervision technology enablement, including setting clear objectives, managing performance, building subject-matter expertise, and fostering a culture of accountability, collaboration, and continuous improvement. Serve as the primary liaison between Supervision and Technology/Data teams, translating supervisory requirements into scalable, user-centric digital solutions. Oversee the development and integration of data pipelines, dashboards, and analytics that support real-time monitoring, risk detection, and performance reporting. Partner with the Supervision Program Senior Strategist, Surveillance, and Governance leaders to ensure technology solutions align with supervisory frameworks, escalation protocols, and control documentation standards. Manage the intake, prioritization, and delivery of supervision-related technology enhancements, including backlog management, sprint planning, and user acceptance testing. Ensure all supervisory systems meet regulatory, compliance, and audit requirements, with appropriate controls for evidence retention, data integrity and access management. Lead change management efforts related to new supervision tools, including training, communications, and adoption support for end users. Promote a culture of innovation, continuous improvement, and digital enablement within the Supervision organization. Qualifications Bachelor’s degree required; advanced degree in technology, business, or related field preferred. 10+ years of experience in financial services, with at least 5 years in technology enablement, digital transformation, or risk/supervision systems implementation. Proven experience leading cross-functional technology initiatives in a regulated environment. Strong understanding of broker-dealer supervision, compliance, and risk management frameworks. Demonstrated expertise in workflow design, data architecture, and platform integration. Excellent communication, stakeholder engagement, and project execution skills. Familiarity with regulatory requirements (e.g., FINRA 3110, 3120, 3130) and their application in supervisory systems. Special Factors Sponsorship Vanguard is not offering visa sponsorship for this position. About Vanguard At Vanguard, we don't just have a mission—we're on a mission. To work for the long-term financial wellbeing of our clients. To lead through product and services that transform our clients' lives. To learn and develop our skills as individuals and as a team. From Malvern to Melbourne, our mission drives us forward and inspires us to be our best. How We Work Vanguard has implemented a hybrid working model for the majority of our crew members, designed to capture the benefits of enhanced flexibility while enabling in-person learning, collaboration, and connection. We believe our mission-driven and highly collaborative culture is a critical enabler to support long-term client outcomes and enrich the employee experience. Vanguard, one of the world's largest investment management companies, serves individual investors, institutions, employer-sponsored retirement plans, and financial professionals. We have a diverse and talented crew with a culture that promotes teamwork, along with an unwavering focus on serving our clients' best interests. This website uses "cookies" to distinguish you from other users. A cookie is a small file of letters and numbers placed on your computer or device. This helps us to provide you with a good experience when you browse our website and also allows us to improve our site and services. The cookies are stored locally on your computer or mobile device. To accept cookies you can continue browsing as normal. Or you can go to our Privacy Policy to read more information and learn how to change your preferences.

Requirements

• Bachelor’s degree required; advanced degree in technology, business, or related field preferred.
• 10+ years of experience in financial services, with at least 5 years in technology enablement, digital transformation, or risk/supervision systems implementation.
• Proven experience leading cross-functional technology initiatives in a regulated environment.
• Strong understanding of broker-dealer supervision, compliance, and risk management frameworks.
• Demonstrated expertise in workflow design, data architecture, and platform integration.
• Excellent communication, stakeholder engagement, and project execution skills.
• Familiarity with regulatory requirements (e.g., FINRA 3110, 3120, 3130) and their application in supervisory systems.

Responsibilities

• Lead the end-to-end design, implementation, and execution of the supervision technology roadmap, including case management platforms, surveillance tools, workflow automation, and reporting solutions.
• Lead, develop, and mentor a high-performing team responsible for supervision technology enablement, including setting clear objectives, managing performance, building subject-matter expertise, and fostering a culture of accountability, collaboration, and continuous improvement.
• Serve as the primary liaison between Supervision and Technology/Data teams, translating supervisory requirements into scalable, user-centric digital solutions.
• Oversee the development and integration of data pipelines, dashboards, and analytics that support real-time monitoring, risk detection, and performance reporting.
• Partner with the Supervision Program Senior Strategist, Surveillance, and Governance leaders to ensure technology solutions align with supervisory frameworks, escalation protocols, and control documentation standards.
• Manage the intake, prioritization, and delivery of supervision-related technology enhancements, including backlog management, sprint planning, and user acceptance testing.
• Ensure all supervisory systems meet regulatory, compliance, and audit requirements, with appropriate controls for evidence retention, data integrity and access management.
• Lead change management efforts related to new supervision tools, including training, communications, and adoption support for end users.
• Promote a culture of innovation, continuous improvement, and digital enablement within the Supervision organization.

What This Job Offers

• Job Type: Full-time
• Career Level: Director