Supervision Program Strategist

Vanguard • Malvern, PA

10d • Hybrid

About The Position

Vanguard Personal Wealth is seeking a Supervision Program Strategist in the Supervision, Monitoring & Oversight organization. This individual will play a key role on a team 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 and 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 advisory 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 8 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 advisory regulatory frameworks, including FINRA and SEC.
• Excellent communication, documentation, and stakeholder engagement skills; active FINRA Series 7 and 24 required.

Responsibilities

• Assist with the design and implementation of supervision initiatives, supporting the development and application of supervisory models, escalation frameworks, and role-based oversight structures.
• Help draft and maintain supervisory program documentation, such as frameworks, operating models, and execution playbooks, ensuring accuracy and consistency.
• Participate in cross-functional working groups to support alignment of supervision practices with regulatory requirements, internal policies, and business goals.
• Assist in integrating supervisory controls into business processes, technology platforms, and governance routines, working closely with relevant teams.
• Track industry trends, regulatory changes, and internal risk indicators to provide input for program improvements and strategic planning.

What This Job Offers

• Job Type: Full-time
• Career Level: Mid Level
• Number of Employees: 5,001-10,000 employees