Supervision Program Strategist

The Vanguard Group • Dallas, PA

8d • Hybrid

About The Position

V anguard 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. Details: 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.

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.

Nice To Haves

• advanced degree (JD, MBA, or related field) preferred.

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