1940 Act, Assistant General Counsel
About The Position
Vanguard’s Office of the General Counsel (OGC) is a trusted partner in advancing the firm’s mission to give investors the best chance for investment success. In this role, you will provide the organization with legal advice and representation on matters related to fund formation, governance, regulatory compliance, and strategic initiatives. You will partner with business leaders to help shape new and existing products and collaborate on high-impact initiatives focused on driving value for investors. Are you ready to lead with purpose and make a meaningful impact in the legal and regulatory space? We are seeking a seasoned Investment Company Act of 1940 legal professional to join Vanguard as Assistant General Counsel. 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.
Requirements
- Minimum ten 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.
- Strong working knowledge of SEC regulations, fund governance, disclosure obligations, and investment adviser compliance.
- Excellent drafting, negotiation, and analytical skills.
- Strong communicator and strategic thinker with the ability to influence at senior levels.
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.
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What This Job Offers
Job Type
Full-time
Career Level
Senior
