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Senior Counsel, Regulatory (investment Company Act Of 1940 Focus)

Full-time 3 views
Company The Vanguard Group, Inc. Location Wayne, PA, United States



Min 8 yrs required



Aug 25, 2022

Dec 08, 2022

Jun 17, 2022


Senior Counsel, Regulatory (Investment Company Act of 1940 focus)
Duties: Conduct legal and/or factual research as necessary to support the needs and initiatives of the company. Draft and negotiate, as applicable, various legal documents and items of legal significance, as necessary, such as regulatory filings, contracts, memoranda, position statements, correspondence, and other documents and instruments. Establish and communicate company policy with regard to legal issues arising under particular areas of expertise. Provide assistance and support with regard to work being performed by outside counsel selected to represent Vanguard. Support the training, development and substantive work of legal administrators, legal analysts and other non-lawyer professionals in the Legal Department. Ensure that legal matters implicating areas across the company are adequately addressed by recognizing legal issues when they arise, bringing those issues to the right people in the Legal Department; and where necessary, coordinating responses to Business Units to ensure that all legal concerns are addressed in a clear and consistent manner. Assist and provide support for new services or initiatives undertaken by the company. Develop and maintain expertise in applicable areas of the law, business and products, and the mutual fund industry by keeping current on industry and regulatory developments affecting our business, fostering an interest in Vanguard's initiatives and new services and products offered, and researching applicable law, reading legal publications, and/or attending legal seminars. Support and advance the Legal Department’s other projects, endeavors and standards by maintaining the Legal Department’s standards (through work ethic, responsiveness to clients, attitude, adherence to the Code of Ethics and exercise of good judgment), initiating and implementing new projects as necessary or appropriate, supporting the Department’s work practices, and supporting the Department’s contingency efforts. Participate in special projects and performs other duties as assigned.

Qualification and Experience

Qualifications: Graduate degree or equivalent combination of training and experience. Law degree (J.D. or equivalent). Should have 8 years of related legal work experience; 3+ years of securities law experience at a law firm and/or financial services firm, including the Investment Company Act of 1940 and the Investment Advisers Act of 1940. Exceptional leadership, organizational and interpersonal skills. Demonstrated persuasive and influencing capabilities. Ability to work quickly and independently with attention to detail and sensitivity to deadlines.

Additional info

Requisition #: 148509

Company info

Hiring Coordinator
The Vanguard Group, Inc.
P.O. Box 1110
Valley Forge, PA 19482-1110

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