Vanguard’s Office of the General Counsel (OGC) is a trusted partner in advancing the firm’s mission to give investors the best chance for investment success. In this role, you will provide the organization with legal advice and representation on matters related to fund formation, governance, regulatory compliance, and strategic initiatives. You will partner with business leaders to help shape new and existing products and collaborate on high-impact initiatives focused on driving value for investors.
Job Description:
Are you ready to lead with purpose and make a meaningful impact in the legal and regulatory space? We are seeking a seasoned Investment Company Act of 1940 legal professional to join Vanguard as Assistant General Counsel. This role offers the opportunity to advise senior stakeholders, influence strategic initiatives, and ensure adherence to critical regulations. Step into a role where your legal expertise will help drive innovation, uphold investor trust, and shape the future of Vanguard.
Responsibilities:
- Advise on the Investment Company Act of 1940 and related rules and regulations impacting Vanguard’s registered funds, business activities, investment product development, transactions, and regulatory matters. Ensure that business activities, policies, practices, and transactions comply with all relevant laws and regulations.
- Draft and negotiate legal documents such as registration statements, shareholder notifications, regulatory filings, advisory agreements, and other fund-related documents.
- Monitor, analyze, and respond to legislative and regulatory developments related to Vanguard's business activities and investment products to assess the impact, analyze any changes required, and implement updates as necessary.
- Represent Vanguard’s interests with third parties, including government agencies such as the SEC.
- Direct and manage outside counsel on complex fund-related matters.
- Maintain deep expertise in registered funds, regulatory law, Vanguard’s business and products, and industry best practices. Stay current on SEC guidance, rulemaking, and enforcement trends.
- Mentor junior attorneys and legal staff and contribute to a collaborative team environment.
- Participate in special projects and perform other duties as assigned.
Qualifications:
- Minimum ten years related legal work experience with a focus on the Investment Company Act of 1940.
- Undergraduate degree or equivalent combination of training and experience. Law degree (JD) required; admission to practice in relevant jurisdiction.
- Investment Company Act of 1940 expertise required.
- Strong working knowledge of SEC regulations, fund governance, disclosure obligations, and investment adviser compliance.
- Excellent drafting, negotiation, and analytical skills.
- Strong communicator and strategic thinker with the ability to influence at senior levels.
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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.
Skills Required
- Minimum ten years related legal work experience with a focus on the Investment Company Act of 1940
- Law degree (JD) required; admission to practice in relevant jurisdiction
- Investment Company Act of 1940 expertise
- Strong working knowledge of SEC regulations, fund governance, disclosure obligations, and investment adviser compliance
- Excellent drafting, negotiation, and analytical skills
- Strong communicator and strategic thinker with ability to influence senior leaders
- Undergraduate degree or equivalent combination of training and experience
Vanguard Compensation & Benefits Highlights
The following summarizes recurring compensation and benefits themes identified from responses generated by popular LLMs to common candidate questions about Vanguard and has not been reviewed or approved by Vanguard.
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Retirement Support — Retirement support appears unusually strong through a 401(k) design that includes a match plus an additional employer contribution, which can materially lift long-term total rewards. HSA seeding and an enhanced employer match further strengthen the savings-and-benefits value of the package.
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Wellbeing & Lifestyle Benefits — Wellbeing and lifestyle support is reinforced by a sizable annual FlexFund stipend that can be applied across many day-to-day categories such as fitness, childcare, and other personal expenses. On-site or virtual clinics and fitness options add practical health and wellness convenience.
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Affordable Benefits — Healthcare and related benefits are positioned as comparatively affordable via heavily subsidized medical plans and broad coverage options. This affordability can offset moderate base pay for employees who place higher value on out-of-pocket cost reductions.
Vanguard Insights
What We Do
We are a community of 30 million who think – and feel – differently about investing. Together, we’re changing the way the world invests. Since our founding in 1975, helping our investors achieve their goals is our sole reason for existence. With no other parties to answer to and therefore no conflicting loyalties, we make every decision—like keeping investing costs as low as possible—with only your needs in mind. Vanguard is one of the world's largest investment companies, offering a large selection of high-quality low-cost mutual funds, ETFs, advice, and related services. Individual and institutional investors, financial professionals, and plan sponsors can benefit from the size, stability, and experience Vanguard offers. As of April 30, 2019, we managed more than $5.6 trillion in global assets. In addition, we have 189 funds in the United States and 225 funds in global markets. For Commenting Guidelines & Important information, visit here: http://vanguard.com/linkedin Vanguard Marketing Corporation, Distributor.
