Are you ready to lead with purpose and make a meaningful impact in the legal and regulatory space? Join Vanguard as a Legal Counsel specializing in the Investment Company Act of 1940. 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 three 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.
Alternative funds experience preferred.
Strong working knowledge of SEC regulations, fund governance, disclosure obligations, and investment adviser compliance.
Excellent drafting, negotiation, and analytical skills. Ability to communicate complex regulatory concepts clearly to business partners.
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.
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.
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