Senior Counsel, Regulatory Response and Investigations

Vanguard • Malvern, PA

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About The Position

Join a dynamic legal team where your expertise will drive high-impact regulatory response and investigative work. This role offers the opportunity to lead responses to enforcement investigations and other regulatory inquiries, manage internal investigations, and advise senior leaders on complex legal matters. Ideal for a practiced attorney with a strong background in the financial services industry, this position blends strategic influence with hands-on legal execution in a collegial but high-stakes environment.

Requirements

• Law degree (JD) and Bar admission required.
• Minimum five years of legal practice involving regulatory enforcement, internal investigation, or similar matters.

Nice To Haves

• Financial services industry experience strongly preferred.

Responsibilities

• Lead and support responses to enforcement investigations and other regulatory inquiries (e.g., matters involving the SEC, FINRA, and state securities regulators).
• Conduct and support internal investigations.
• Direct and manage outside counsel and other external advisors.
• Advise OGC and business leaders on regulatory enforcement risk and pending matters.
• Draft and negotiate regulatory submissions, legal memos, agreements, and other legal documents and correspondence, as well as communications for a business audience.
• Coordinate with and support civil litigation teams.
• Develop and maintain OGC procedures for managing regulatory responses and internal investigations.
• Maintain a high level of expertise in relevant legal and regulatory issues, Vanguard’s business, and the investment industry.
• Participate in special projects and performs other duties as assigned.

What This Job Offers

• Job Type: Full-time
• Career Level: Senior
• Education Level: Ph.D. or professional degree
• Number of Employees: 5,001-10,000 employees