Senior Counsel - Third Party Distribution

Vanguard • Scottsdale, AZ

50d

About The Position

Provides the organization with legal advice and representation on matters related to Vanguard's business activities and investment products. Prepares resolutions and participates in major legal actions. Liaises with the business on strategic issues and regulatory matters. Join a dynamic legal team at the intersection of innovation and investor access, where you'll shape the future of product distribution across third-party platforms and complex investment vehicles. This role empowers you to advise on the distribution of registered funds, collective investment trusts and other asset management vehicles within the retirement market-ensuring every product is crafted with precision, regulatory integrity, and strategic foresight. As Vanguard continues to evolve as a destination of choice for the next generation of investors, your expertise in securities law and ERISA will be pivotal in driving compliant, forward-thinking solutions.

Requirements

• Minimum 5-7 years related legal work experience.
• Undergraduate degree or equivalent combination of training and experience. Law degree (JD) required.
• Deep technical expertise securities law required, with an emphasis on providing interpretative advice under the Securities Act of 1933 and 1934, FINRA broker-dealer regulation, ERISA, and the Investment Company Act of 1940.
• Commercial mindset and strong negotiation skills required.

Responsibilities

• Provides business leaders with legal advice on issues impacting Vanguard's distribution business activities, transactions, and regulatory matters. Ensures that business activities, policies, practices, and transactions comply with all relevant laws and regulations.
• Drafts and negotiates legal documents such as regulatory filings contracts, agreements, and correspondence of legal significance.
• Monitors, analyzes, and responds to legislative and regulatory developments related to Vanguard's business activities and investment products to ensure they are adequately addressed.
• Directs the work being performed by outside counsel. Reviews and evaluates outside counsel invoices.
• 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.
• Develop and maintain relationships with key stakeholders to ensure a thorough understanding of business needs and objectives.
• Coaches junior staff and helps resolve problems.
• Participates in special projects and performs other duties as assigned.

What This Job Offers

• Job Type: Full-time
• Career Level: Senior
• Industry: Funds, Trusts, and Other Financial Vehicles
• Education Level: Ph.D. or professional degree
• Number of Employees: 5,001-10,000 employees