Job Description
Team: Finance
This position is posted by Jobgether on behalf of a partner company. We are currently looking for an AVP, Supervisory Controls Governance in United States.
This leadership role offers the opportunity to shape and strengthen a complex supervisory controls environment within a highly regulated financial services setting. You will oversee governance frameworks, change management initiatives, audit readiness, and risk/control documentation while collaborating across compliance, audit, supervision, and risk teams. The position combines strategic oversight with hands-on execution, making it ideal for a detail-oriented professional who thrives in fast-paced and evolving environments. You’ll play a critical role in ensuring supervisory controls remain effective, compliant, and aligned with regulatory expectations. In addition, you’ll lead governance routines, support remediation initiatives, and deliver executive-level reporting on the health of the control environment. This is an impactful opportunity to influence enterprise-wide governance practices while mentoring teams and driving operational excellence.
Accountabilities:
- 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.
- 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.
- Competitive salary range of $104,648 – $174,482 annually, based on experience and location.
- Comprehensive healthcare coverage including medical, dental, and vision plans.
- 401(k) retirement plan with company matching contributions.
- Employee stock purchase opportunities and long-term financial wellness programs.
- Generous paid time off and volunteer time off programs.
- Flexible remote work opportunities and work-life balance support.
- Career development resources, leadership programs, and internal growth opportunities.
- Inclusive and collaborative workplace culture focused on innovation and teamwork.
- Access to wellness initiatives and employee assistance resources.
- Opportunities to contribute to meaningful community and social responsibility initiatives.
Requirements:
Benefits:
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Date Posted
05/12/2026
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