Director of Transaction Management responsible for trade contracts and loan sales processes. Leading a team in managing investor relations and trade settlements in the mortgage sector.
About the role
- Director managing a high-performing surveillance team for Vanguard's financial services. Overseeing risk-based monitoring and integrating surveillance insights across the organization.
Responsibilities
- Lead, develop, and mentor a high-performing surveillance team
- Design and execute the firm’s risk-based monitoring and detections program
- Oversee the development and calibration of surveillance analytics, pattern detection scenarios, and alert thresholds
- Direct the triage, investigation, and escalation of surveillance alerts
- Govern the surveillance program through a formal charter, scenario documentation, QA standards, and operating procedures
- Manage governance records, issue logs, and periodic validations; prepare management reporting with trend insights, themes, and remediation tracking
- Collaborate with Technology and Data teams to enhance surveillance platforms
- Partner with Supervision, Compliance, Legal, and Risk to integrate surveillance insights
Requirements
- Bachelor’s degree required; advanced degree (JD, MBA, or related field) preferred.
- 10+ years of financial services experience, including 5+ years in surveillance, supervision, compliance, or risk management.
- Proven leadership experience managing teams and driving complex, cross-functional, data-driven initiatives.
- Strong knowledge of broker-dealer regulatory frameworks (FINRA, SEC, state regulations) and surveillance governance standards.
- Expertise in surveillance tools, data analytics, alert management, and investigative practices.
- Excellent communication, documentation, and stakeholder engagement skills; active FINRA Series 7 and 24 required; Series 9/10 preferred.
Benefits
- Hybrid working model
- Professional development opportunities
Job title
Job type
Experience level
Salary
Not specified
Degree requirement
Location requirements
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