Senior Counsel, 1940 Act Regulatory

3 weeks ago

Scottsdale, United States Vanguard Full time

Core Responsibilities

* Provides business leaders with legal advice on issues impacting Vanguard's business activities and investment product development, transactions, and regulatory matters. Ensures that business activities, policies, practices, and transactions comply with all relevant laws and regulations.
* Drafts and negotiates legal documents such as regulatory filings, contracts, agreements, and correspondence of legal significance.
* Monitors, analyzes, and responds to legislative and regulatory developments related to Vanguard's business activities and investment products to ensure they are adequately addressed.
* Represents the organization in complex, controversial, significant, or specialized legal proceedings before courts, government agencies, or other authorities so the organization's interests are protected.
* Directs the work being performed by outside counsel. Reviews and evaluates outside counsel invoices.
* Maintains a high level of expertise in regulatory law, Vanguard's business and products, and the investment industry. Stays abreast of industry and regulatory developments affecting Vanguard, and maintains affiliations with relevant industry, compliance, and risk associations.
* Coaches junior staff and helps resolve problems.
* Participates in special projects and performs other duties as assigned.

Qualifications

* Minimum three years related legal work experience.
* Undergraduate degree or equivalent combination of training and experience. Law degree (JD) required.

Special Factors

Sponsorship

Vanguard is not offering visa sponsorship for this position.

About Vanguard

We are Vanguard. Together, we're changing the way the world invests.

For us, investing doesn't just end in value. It starts with values. Because when you invest with courage, when you invest with clarity, and when you invest with care, you can get so much more in return. We invest with purpose - and that's how we've become a global market leader. Here, we grow by doing the right thing for the people we serve. And so can you.

We want to make success accessible to everyone. This is our opportunity. Let's make it count.

Inclusion Statement

Vanguard's continued commitment to diversity and inclusion is firmly rooted in our culture. Every decision we make to best serve our clients, crew (internally employees are referred to as crew), and communities is guided by one simple statement: "Do the right thing."

We believe that a critical aspect of doing the right thing requires building diverse, inclusive, and highly effective teams of individuals who are as unique as the clients they serve. We empower our crew to contribute their distinct strengths to achieving Vanguard's core purpose through our values.

When all crew members feel valued and included, our ability to collaborate and innovate is amplified, and we are united in delivering on Vanguard's core purpose.

Our core purpose: To take a stand for all investors, to treat them fairly, and to give them the best chance for investment success.

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.

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