Are you a seasoned legal professional with a passion for navigating the complexities of investment advisory services? Vanguard is seeking a strategic legal advisor to play a pivotal role in shaping and safeguarding our discretionary and non-discretionary registered investment advisory offerings. This high-impact position offers the opportunity to influence business decisions, ensure regulatory compliance, and represent Vanguard in significant legal matters—all while mentoring junior staff and staying at the forefront of industry developments.
Responsibilities
Acts as a subject matter expert and provides business leaders with legal advice on issues impacting Vanguard's discretionary and non-discretionary registered investment advisory offerings. Ensures that business activities, policies, practices and transactions comply with 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 eight years related legal work experience.
Undergraduate degree or equivalent combination of training and experience. Law degree (JD) preferred.
Expertise in the Investment Advisers Act and applicable regulations.
Knowledge of FINRA rules and ERISA's prohibited transaction exemptions are a plus.
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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