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Core Competencies
Role fitCore Competencies
Use this summary to align your resume positioning with the role.
Demonstrates expertise in supervision program design, control implementation, and strategic execution within financial services, with a strong focus on compliance and risk management. Proven ability to lead cross-functional initiatives and support regulatory requirements through effective documentation and stakeholder engagement.
Highest-signal resume keywords
Supervision Program DesignControl ImplementationStrategic ExecutionProject ManagementChange Leadership
ATS Keywords
Tailor your resumeApplicant Tracking System Keywords
Tip: use these terms in your resume and cover letter to boost ATS matches.
Hard Skills
Supervisory ModelsEscalation FrameworksRisk-Based MonitoringControl OptimizationSupervisory Program DocumentationOperating ModelsExecution PlaybooksRegulatory FrameworksBroker-Dealer RegulationsCompliance Monitoring
Soft Skills
Excellent CommunicationStakeholder EngagementChange Management
Tools & Technologies
Technology PlatformsGovernance Routines
Certifications & Qualifications
FINRA Series 7FINRA Series 24FINRA Series 9/10
Industry Keywords
Financial ServicesComplianceRisk ManagementRegulatory ExamsInternal Audits
About the role
Key responsibilities & impact- Lead the design and implementation of strategic supervision initiatives, including supervisory models, escalation frameworks, and role-based oversight structures
- Serve as subject matter expert and program lead for supervision modernization, risk-based monitoring, digital enablement, and control optimization
- Develop and maintain supervisory program documentation, frameworks, operating models, and execution playbooks
- Coordinate cross-functional working groups across Compliance, Risk, Legal, and business stakeholders
- Integrate supervisory controls into business processes, technology platforms, and governance routines
- Monitor industry trends, regulatory developments, and internal risk indicators
- Support regulatory exams, internal audits, and supervisory certifications by preparing documentation and execution evidence
- Provide strategic support to the Head of Supervision on program design, change management, and long-term supervision strategy
Requirements
What you’ll need- Bachelor’s degree required
- Advanced degree (JD, MBA, or related field) preferred
- Minimum 10 years of experience in financial services
- At least 5 years in supervision, compliance, or risk management roles
- 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
- FINRA Series 9/10 is a plus
- Vanguard is not offering visa sponsorship for this position
Benefits
Comp & perks- Hybrid working model
- Enhanced flexibility
- In-person learning, collaboration, and connection
- Long-term professional skill development as individuals and as a team