Managing Director, Benefits responsible for new sales growth through consultative partnerships in worksite insurance. Building relationships with buyers and distributors to enhance sales efforts in Atlanta and Tennessee.
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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