Head of Supervision, Personal Investor

OverviewWe’re seeking a strategic forward-thinking Head of Supervision to lead the Personal Investor Supervisory Controls, Governance and Surveillance agenda within the Service and Operational Excellence (S&OE) Organization. This senior level role is pivotal to building a robust and modern supervisory framework that ensures compliance, accountability, and scalable oversight across business channels. This leader will be responsible for :

Advancing a risk-intelligent and tech- enabled supervision model, including call and activity surveillance, supported by automation and generative AI.

Establish a comprehensive governance framework that defines supervisory expectations and embeds consistent oversight practices aligned with evolving regulatory expectations.

Driving end to end incentive compensation oversight, ensuring programs promote compliance behavior and align with enterprise conduct standards.

Leading centralized supervision and audit engagement strategies that support front line teams, reinforce policy adherence and identify emerging supervisory risks.

This is a critical leadership opportunity for someone who thrives in a dynamic environment and can shape supervision and conduct culture through innovation, influence, and disciplined execution.Responsibilities

Lead Supervision Strategy : Define and execute the firms supervision model across functions, with a strong focus on modernization, automation, and Gen AI integration.

Modernize Surveillance : Build and execute a scalable surveillance framework to monitor representative behavior and ensure compliance.

Oversee Governance : Drive governance routines and reporting for Supervision, BDOC, Renumeration, and incentive compensation ensuring accountability and alignment with firmwide risk appetite and regulatory standards.

Deliver Insightful Reporting : Produce data driven insights on supervisory health and behavioral trends to inform executive decision making and drive continuous improvement.

Drive Conduct Risk Awareness : Embed supervisory responsibilities and ethical conduct expectations into frontline practices.

Engage with Internal and External Stakeholders : Partner closely with Legal, Compliance, Risk and Audit to strengthen supervisory oversight and manage regulatory obligations.

Qualifications

Minimum of ten years related work experience. Supervisory experience preferred.

Undergraduate degree or equivalent combination of training and experience. Graduate degree preferred.

Deep expertise in broker-dealer supervision and relevant supervisory control regulations.

Strong knowledge of Broker Dealer compliance, front-line supervisory practices, and incentive compensation governance.

Demonstrated ability to lead large scale supervision and surveillance modernization initiatives.

Executive presence and relationship building skills to influence across senior stakeholders and regulatory bodies.

Ability to translate complex data and behavioral analytics into actionable insights.

Experience leading or supporting a formal governance body is strongly desirable.

Comfort with ambiguity and ability to lead through complexity and change.

FINRA SIE, Series 7, 63 and 24 licenses required.

Why This Role Matters

As the S&OE continues to evolve, this role will be instrumental in transforming how we supervise, govern, and guide ethical behavior across the business. You’ll play a critical role in enhancing conduct risk management, supporting business integrity, and enabling compliant growth in a rapidly changing regulatory landscape.

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.