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Years of Experience
Date Last Verified
ProfileSenior Counsel, Marketing and Distribution The candidate will partner with the business to provide legal advice on all aspects of mutual fund/ETF marketing and distribution. Provide advice, counseling and education to internal clients to comply with, navigate and raise awareness of applicable legal issues, policies, regulations and laws, including federal securities laws and FINRA rules. Support and develop key relationships with Vanguard’s global product teams and sales and marketing businesses. Provide legal advice regarding the distribution of mutual funds and ETFs globally. Provide thought leadership on industry distribution practices and arrangements. Serve as a legal resource for the Advertising Compliance Unit. Monitor regulatory changes and coordinate efforts with regulators and trade associations.
Qualification and Experience
A Law degree (J.D.) is required. Should have 8 years of relevant experience in the asset management industry, government agency, and/or at a top tier law firm. Would possess strong knowledge of the Investment Company Act of 1940, Investment Advisers Act of 1940, FINRA rules and regulations, and distribution practices. Knowledge of UCITS and non-US product distribution laws and practices is a plus. Would have 8 years of relevant experience in the asset management industry, government agency, and/or top tier law firm. The Senior Counsel would join a team of attorneys in the Strategy, Marketing and Distribution Legal Services Group. Should have strong knowledge of the Investment Company Act of 1940, Investment Advisers Act of 1940, FINRA rules and regulations, and distribution practices. Knowledge of UCITS and non-US product distribution laws and practices in a plus. Will be a business-focused, intellectually curious legal counselor who thrives when dealing with ambiguity; has a track record of commitment and significant accomplishment; and demonstrates excellent judgment, creativity, technical expertise, breadth of vision, initiative, and superior relationship management and communication skills.
The Vanguard Group, Inc.
100 Vanguard Boulevard
Malvern, PA 19355