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, Supervision Program at Vanguard overseeing strategic supervision initiatives and compliance modernization. Collaborating across teams and monitoring regulatory trends to enhance supervisory practices.
Responsibilities
- Lead the design and implementation of strategic supervision initiatives, including the development of supervisory models, escalation frameworks, and role-based oversight structures.
- Serve as a subject matter expert and program lead for supervision modernization efforts, including risk-based monitoring, digital enablement, and control optimization.
- Develop and maintain supervisory program documentation, including frameworks, operating models, and execution playbooks.
- Coordinate cross-functional working groups to align supervision practices with regulatory expectations, internal policies, and business objectives.
- Support the uplift and integration of supervisory controls into business processes, technology platforms, and governance routines.
- Monitor industry trends, regulatory developments, and internal risk indicators to inform program enhancements and strategic planning.
- Contribute to regulatory exams, internal audits, and supervisory certifications by preparing program documentation and evidence of execution.
- Provide thought leadership and strategic support to the Head of Supervision on program design, change management, and long-term supervision strategy.
Requirements
- Bachelor’s degree required; advanced degree (JD, MBA, or related field) preferred
- Minimum 10 years of experience in financial services, with at least 5 years in supervision, compliance, or risk management roles
- Demonstrated 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; Series 9/10 preferred
Benefits
- Health insurance
- 401(k) retirement plans
- Flexible work arrangements
- Professional development opportunities
- Paid time off
Job title
Job type
Experience level
Salary
Not specified
Degree requirement
Location requirements
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