AVP, Supervisory Controls Governance in United States at Jobgether
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Jobgether
United States, United States
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Job Description
AVP, Supervisory Controls Governance
Accountabilities:
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.
- 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.
How Jobgether works:
We use an AI-powered matching process to ensure your application is reviewed quickly, objectively, and fairly against the role's core requirements. Our system identifies the top-fitting candidates, and this shortlist is then shared directly with the hiring company. The final decision and next steps (interviews, assessments) are managed by their internal team.
We appreciate your interest and wish you the best!
Data Privacy Notice: By submitting your application, you acknowledge that Jobgether will process your personal data to evaluate your candidacy and share relevant information with the hiring employer. This processing is based on legitimate interest and pre-contractual measures under applicable data protection laws (including GDPR). You may exercise your rights (access, rectification, erasure, objection) at any time.
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Job Location
United States, United States
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