AVP, Supervisory Controls Governance
USFull-TimeManager
Salary104,648 - 174,482 USD per year
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Job Details
- Experience
- 7+ years
- Required Skills
- ComplianceRisk ManagementChange Management
Requirements
- 7+ years of experience in financial services within supervision, compliance, operational risk, internal audit, controls governance, or related disciplines.
- Proven experience managing or enhancing governance frameworks, control environments, or documentation programs in regulated industries.
- Hands-on experience supporting audits, compliance testing, regulatory exams, and remediation tracking activities.
- Strong ability to develop executive-level reporting, dashboards, governance presentations, and strategic communications.
- Excellent analytical and problem-solving skills with the ability to identify root causes and design actionable remediation plans.
- FINRA Series 7, 63 & 65 or 66, and 24 licenses required.
- Strong understanding of governance routines, issue management, control frameworks, and documentation management practices.
- Experience working in broker-dealer, wealth management, or regulated financial services environments preferred.
- Familiarity with enterprise risk systems, WSPs, and three-lines-of-defense operating models is highly valued.
- Excellent written communication, organizational, leadership, and stakeholder management skills.
Responsibilities
- Lead the maintenance and continuous improvement of the supervisory controls management framework across the organization.
- Oversee control governance activities, including ownership inventories, Written Supervisory Procedures (WSPs), supporting procedures, and documentation management.
- Coordinate change management efforts related to policies, systems, procedures, and regulatory updates to ensure proper control alignment.
- Prepare leadership reporting and governance readouts covering control health, audit readiness, documentation status, issue management, and remediation progress.
- Manage audit and compliance testing readiness by coordinating evidence collection, walkthroughs, responses, and follow-up activities.
- Partner with Compliance, Risk, Internal Audit, and Supervision leaders to identify control gaps and implement practical improvements.
- Maintain risk and control inventories within centralized systems, ensuring accurate mapping of risks, controls, procedures, and ownership.
- Support the creation and monitoring of management action plans, ensuring timely remediation and issue closure.
- Represent the supervision organization in governance committees and communicate key updates, decisions, and action items across stakeholders.
- Lead, mentor, and coordinate team activities while establishing strong operational governance routines.
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