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.