If you have an interest in supervisory functions and supporting front-line crew by creating best-in-class supervision for all Registered Representatives, then this newly created Central Supervision Relationship Specialist (S2) role may be right for you!

This exciting and crucial role will lead efforts to assist in the creation of a best-in-class supervisory function. The position will provide direct interaction with Compliance, Legal, Risk, senior managers, and other key business partners, as well as process owners across Personal Investor – giving the selected candidate, the opportunity to develop multidisciplinary skills while gaining exposure to senior stakeholders throughout the Enterprise.

The ideal candidate should possess the skills of persuasion and influence, strong relationship management as well as the ability to think independently.

In this role you will:

• Support Central Supervision in building out an enhanced supervisory model

• Support key business partners in adoption of the new supervisory model

• Create and implement change management

What it takes:

• A growth mindset with a passion for regulatory oversight and risk mitigation

• The ability to effectively manage relationships with business partners

• Strong attention to detail and excellent conceptual thinking and problem-solving skills

• Effective project management abilities with an emphasis on continuous improvement

• A desire to gain valuable experience while collaborating with enterprise business partners including Distribution, Risk, and OGC

This positing is available in AZ and PA locations.

Special Factors

• Manages projects with broad scope and high complexity within and across business groups that require action to adhere to regulatory requirements, supports business objectives, improves the control environment, and enhances the client experience. Creates project plans and timelines, determines resource requirements, manages day-to-day aspects of the project plan, gathers and incorporates business feedback, and facilitates change and communication planning.

• Provides leadership and strategic direction to develop, implement, and manage comprehensive control management programs for the business unit. Links control management programs with Enterprise Risk Management.

• Takes an active role in developing, implementing, and providing ongoing solutions with business leaders. Facilitates forums with business stakeholders and internal partners to accelerate and improve decision making on regulatory risk topics in the business. Provides communication to drive consistent and sustainable change in business practices.

• Establishes and maintains effective working relationships with department, division and executive management by assisting in the identification, assessment, mitigation, and monitoring of regulatory risks, providing education, and reporting results. Assists business partners and business units in defining, implementing, and improving local efforts to ensure compliance.

• Acts as a consultant for management team to draw on for advice and guidance regarding proposed regulations, processes and procedures to ensure internal controls are appropriately implemented without compromising client service. Identifies and evaluates risks and exposures of business objectives, process workflows and service initiatives. Identifies and resolves problems in a timely manner and demonstrates excellent judgment and decision quality. Recognized by others across the business as a resource; a person who can resolve issues, accomplish objectives and provide consultative insight.

• Maintains awareness of regulatory risk and control topics. Seeks to understand broad industry and Vanguard trends regarding risk and control and determines applicability to the Vanguard operation. Demonstrates high (learning curve appropriate) level of competency/thought leadership in field of expertise.

• Develops risk metrics, dashboards, and reports that are distributed regularly and can used to identify potential risk mitigation opportunities as well as monitor the effectiveness of risk mitigation activities.

• Manages the efficiency and effectiveness within the department. Sets measurable goals and examines ways to raise standards, improve quality, and improve overall performance of the department. Monitors departmental progress and measures departmental success.

• Participates in special projects and performs other duties as assigned.

Qualifications

• Undergraduate degree in Business or related discipline or an equivalent combination of training and experience. Graduate degree preferred.

• Minimum of five years of mutual fund, regulatory and/or internal control experience including project management or consulting experience.

• Demonstrated comprehensive knowledge and understanding of VUE principles.

• Working knowledge of retail business preferred.

• Perspective, flexibility, and judgment to evaluate issues/problems of high complexity and make sound decisions.

• Excellent verbal and written communication skills. Excellent presentation skills.

• Excellent negotiation, influencing, problem solving and conflict resolution skills.

• Ability to interact effectively with all levels of personnel.

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.