Associate Counsel, Investment Management Regulation
Vanguard's Legal & Compliance Division addresses a wide range of complex and compelling legal and compliance issues. To support our growing business, Vanguard is seeking an attorney to join our Investment Products and Advisors team. The person hired into this role will have experience drafting and reviewing investment company registration statements and shareholder reports as well as other legal documentation relating to the operation of investment companies, negotiating resolution of comments from the SEC staff relating to SEC filings, and researching and analyzing legal questions related to mutual fund disclosure.
Duties and Responsibilities
- Drafts and reviews mutual fund registration statements.
- Researches, analyzes, and provides advice to business partners regarding all aspects of mutual fund disclosure.
- Conducts legal and/or factual research as necessary to support the needs and initiatives of the company.
- Drafts and negotiates, as applicable, various legal documents and items of legal significance, as necessary, such as regulatory filings, contracts, memoranda, position statements, correspondence, and other documents and instruments.
- Establishes and communicates company policy with regard to legal issues arising under particular areas of expertise.
- Provides assistance and support with regard to work being performed by outside counsel selected to represent Vanguard.
- Supports the training, development and substantive work of legal administrators, legal analysts and other non-lawyer professionals in the Legal Department.
- Ensures that legal matters implicating areas across the company are adequately addressed by recognizing legal issues when they arise, bringing those issues to the right people in the Legal Department; and where necessary, coordinating responses to BUs to ensure that all legal concerns are addressed in a clear and consistent manner.
- Assists and provides support for new services or initiatives undertaken by Vanguard.
- Develops and maintains expertise in applicable areas of the law, Vanguard's business, and the mutual fund industry through attendance at functions discussing our business (e.g., Annual Meetings), keeping current on industry and regulatory developments affecting our business, fostering an interest in Vanguard's initiatives and new services and products offered, and researching applicable law, reading legal publications, and/or attending legal seminars.
- Supports and advances the Legal Department's other projects, endeavors and standards by maintaining the Legal Department's standards (through work ethic, responsiveness to clients, attitude, adherence to the Vanguard Code of Ethics and exercise of good judgment), initiating and implementing new projects as necessary or appropriate, supporting the Department's VUE efforts, and supporting the Department's contingency efforts.
- Participates in special projects and performs other duties as assigned.
- Graduate degree or equivalent combination of training and experience. Law degree (J.D. or equivalent).
- Exceptional leadership, organizational and interpersonal skills.
- Demonstrated persuasive and influencing capabilities.
- Ability to work quickly and independently with attention to detail and sensitivity to deadlines.
- Demonstrated client relationship and communication skills.
Vanguard is not offering visa sponsorship for this position.
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