Senior Legal Analyst
To provide legal analysis and support.
Duties and Responsibilities
- Provides high quality services to internal clients by being responsive to their questions and concerns, providing prompt turnarounds of work products, and providing thorough analyses of issues.
- Conducts meetings, seminars, and presentations with client groups and management staff, as needed, to provide education, advice, and/or training with respect to various legal issues and related procedures.
- Understands and communicates company policies with regard to fiduciary activities provided by Vanguard and Vanguard National Trust Company (VNTC). Reviews third party agreements such as personal trust documents to ensure compliance with VNTC's trust administrative provisions and other criteria and/or creates customized agreements. Negotiates with third party and/or opposing counsel where necessary.
- Drafts and reviews legal documents, such as appointment agreements and receipt and releases (i.e., nonjudicial settlement agreements) for corporate trustee appointments and terminations, service agreements, regulatory filings, memoranda, position statements, responses, correspondence and other documents and instruments having legal significance with regard to retail investor services (such as corporate trustee and investment advice services provided by VNTC) and fiduciary and other matters involving RIG business units, retail client accounts and other Vanguard relationships.
- Provides advice and counseling to VNTC and other Retail Investor Group (RIG) Division business units on compliance with existing agreements, applicable laws, fiduciary issues and client disputes.
- Assists with the review and resolution of day-to-day operational, risk and legal issues arising in VNTC and other Vanguard RIG businesses, including interpretation of legal documents. Supports VNTC and other RIG businesses with technology projects, process initiatives, forms/template development and review, and policies and procedures issues.
- Conducts factual and/or legal research as necessary to support the needs and initiatives of the Legal Department.
- Ensures that matters implicating areas across the Legal & Compliance Division are adequately addressed by recognizing issues when they arise, bringing those issues to the right people in the Legal & Compliance Division; and where necessary, coordinating responses to the business units to ensure that all legal concerns are addressed in a clear and consistent manner.
- Develops an understanding 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, researching applicable law, reading legal publications, and/or attending legal or other professional seminars.
- Advances the Legal Department's other projects, endeavors and standards by maintaining the Legal & Compliance Division'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, and supporting the Division's VUE and contingency efforts.
- Participates in special projects and performs other duties as assigned.
- Undergraduate degree, or equivalent training and experience.
- Minimum of five years related experience.
- Excellent organizational skills and ability to work independently.
- Demonstrated ability to function in a deadline oriented and fast paced environment.
- Strong oral and written communication skills.
- Ability to work with all levels of Vanguard crew and management.
- Estate and trust paralegal or trust administration experience preferred.
- Strong knowledge of trusts and estates, state fiduciary law and fiduciary taxation preferred.
- Knowledge of IRAs, i401(k)s, 529 plans, 403(b)s and related retail accounts helpful.
- Familiarity with federal banking law related to limited purpose trust companies helpful.
- Demonstrated ability to prioritize multiple tasks
- Strong analytical skills.
Vanguard is not offering visa sponsorship for this position.
Meet Some of Vanguard's Employees
Shelley produces creative recruitment marketing campaigns in order to share Vanguard’s brand, mission, events and culture with new talent in the industry.
Back to top