Associate Counsel, Investment Management Regulation

Vanguard is a leading provider of financial products and services to individual and institutional investors world-wide. Vanguard is known for its strong ethical business practices and client focus. Vanguard fosters a collaborative, team-oriented environment that rewards and recognizes distinguished individual performance.

Vanguard’s Legal & Compliance division (“L&C”) includes more than 200 crewmembers across more than a dozen specialties, who together address a wide range of complex and compelling legal and compliance issues for Vanguard’s expanding global business.

As a member of Vanguard’s Investment Management Regulation team, you’ll work with a team of 12 talented professionals who share a commitment to excellence as you represent Vanguard on a wide range of investment management regulatory matters. In this role you will have the opportunity to work closely with the business on matters related to Vanguard’s current fund line-up as well as provide advice on new/novel products and investment opportunities.

Competitive candidates will have the following experience and education, and demonstrate the following attributes:

  • J.D. from an accredited law school and current bar admission
  • 3+ years of securities law experience with an emphasis on Investment Company Act and Investment Advisers Act matters
  • Experience preparing exemptive applications and no action letters is strongly preferred, but not required
  • Business-focused, excellent judgment, creativity, technical expertise, initiative, counseling, and superior interpersonal / relationship management skills
  • Shares Vanguard’s values, including unmatched ethical standards, collaboration and client focus
  • Ability to balance business and legal needs and manage multiple projects simultaneously
  • Strong leadership and relationship management skills and the ability to work through others (up, down, and sideways in the organization)
  • Business, financial, and legal sophistication to relate to, work with, and persuade and influence team members, in-house corporate partners, and business clients at all levels, as well as senior management, regulators, and outside counsel

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