Core Responsibilities

• Lead, develop, and mentor a high-performing surveillance team, including setting clear objectives, managing performance, building subject-matter expertise, and fostering a culture of accountability, collaboration, and continuous improvement.
• Design and execute the firm’s risk-based monitoring and detections program across customer interactions, trading, operations, communications, product distribution, and employee conduct.
• Oversee the development and calibration of surveillance analytics, pattern detection scenarios, and alert thresholds to identify emerging risks and behavioral anomalies.
• Direct the triage, investigation, and escalation of surveillance alerts, ensuring consistent application of disposition standards and documentation protocols.
• Govern the surveillance program through a formal charter, scenario documentation, QA standards, and operating procedures aligned with regulatory expectations.
• 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, case management tools, and AI/ML-enabled detection capabilities.
• Partner with Supervision, Compliance, Legal, and Risk to ensure surveillance insights are integrated into broader conduct risk and supervisory frameworks.
• Acts as Registered Principal Responsible and works with delegates to review applicable current and future regulatory requirements in order to ensure effective Written Supervisory Procedures (WSPs) are in place
• Participates in special projects and performs other duties as assigned.
  
  
  

Qualifications

• 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.
  
  
  

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.