Director, Supervision Governance

Our Group(21 days ago)

HybridFull TimeDirector$155,470 - $206,343 (estimated)Compliance

About this role

Director-level role overseeing the firm’s broker-dealer supervision governance at Vanguard, focused on maintaining the supervisory framework and ensuring alignment with regulatory obligations. The position leads a team supporting procedural integrity, governance routines, and modernization of supervisory practices. It partners with Compliance, Legal, and business leaders to support enterprise-wide supervisory oversight and risk management.

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Required Skills

Policy Governance
WSPs
Team Management
Control Testing
Regulatory Compliance
FINRA
SEC Knowledge
Project Management
Stakeholder Engagement
Risk Management

+2 more

Qualifications

Bachelor's Degree
JD
MBA
Series 7
Series 24
Series 9/10

About Our Group

vanguardjobs.com

New Relic is a cloud-native observability platform that helps developers and operations teams monitor, troubleshoot, and optimize applications, infrastructure, and digital customer experiences. It offers application performance monitoring (APM), distributed tracing, logs, metrics, infrastructure monitoring, synthetics, dashboards, and alerting, all unified in the New Relic One platform. The service ingests telemetry from across cloud-native and hybrid stacks, provides powerful query and visualization tools, and includes AI/ML-assisted insights to speed incident response and capacity planning. Organizations use New Relic to correlate metrics, traces, and logs in one place for real‑time visibility and faster troubleshooting.

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