Responsibilities:
- Provides business leaders with legal advice on issues impacting Vanguard's retail brokerage business activities and investment product development, transactions, and regulatory matters.
- Provide legal support on resolving complex issues, including client complaints and disputes.
- Serve as legal counsel for broker-dealer regulatory inspections, examinations, and inquiries.
- Partner with Compliance, Risk, Audit, and other shared service functions, to ensure appropriate policies, procedures and supervisory framework on broad broker-dealer related, investment advisor and market issues.
- Monitors, analyzes, and responds to legislative and regulatory developments related to Vanguard's business activities and investment products.
- 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.
- Participates in special projects and performs other duties as assigned.
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Qualifications:
- Bachelor's degree required.
- J.D. from an Accredited Law School required.
- Minimum 4 years of related experience.
- Knowledge and familiarity with Securities Exchange Act of 1934, Investment Advisers Act of 1940, Investment Company Act of 1940, and relevant SEC and FINRA regulations preferred.
- Experience and comfort in dealing with ambiguity and ability to apply conceptual thinking.
- Excellent oral and written communication skills.
- Excellent problem-solving skills.
- Strong time management skills.
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.
Our commitment to diversity, equity, and inclusion
Vanguard's commitment to diversity, equity, and inclusion (DEI) is central to our ability to deliver on our mission. We aspire to create a work environment that is inclusive, equitable, and diverse-one that enables our employees, whom we call crew, to thrive and bring their best selves to work every day on behalf of our clients.
Cultivating DEI lifts our entire organization, and everyone shares accountability for our progress-from our senior leaders who lay the foundation and set the example for inclusive behaviors to crew who are growing in their personal DEI learning experiences.
Together, we're on a mission. We are fueled by the value of diverse voices and connected through friendships and a culture of care-for our clients, our communities, and each other.
Vanguard's DEI journey has no finish line. Our commitment is enduring, and we remain focused on the path ahead. To learn more about Vanguard goals and progress toward DEI, download our Diversity, Equity, and Inclusion Report .
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.