Senior Counsel Personal Investor Retail Brokerage Lawyer
Senior Counsel Personal Investor Retail Brokerage Lawyer
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Salary Not Disclosed
1 Vacancy
Job Description
Responsibilities:
- Provides business leaders with legal advice on issues impacting Vanguards retail brokerage business activities and investment product development transactions and regulatory matters.
- Provide legal support on resolving complex issues including client complaints and disputes.
- Serve as legal counsel for brokerdealer regulatory inspections examinations and inquiries.
- Partner with Compliance Risk Audit and other shared service functions to ensure appropriate policies procedures and supervisory framework on broad brokerdealer related investment advisor and market issues.
- Monitors analyzes and responds to legislative and regulatory developments related to Vanguards business activities and investment products.
- Maintains a high level of expertise in regulatory law Vanguards 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.
- Participates in special projects and performs other duties as assigned.
Qualifications:
- Bachelors degree required.
- J.D. from an Accredited Law School required.
- Minimum 4 years of related experience.
- Knowledge and familiarity with Securities Exchange Act of 1934 Investment Advisers Act of 1940 Investment Company Act of 1940 and relevant SEC and FINRA regulations preferred.
- Experience and comfort in dealing with ambiguity and ability to apply conceptual thinking.
- Excellent oral and written communication skills.
- Excellent problemsolving skills.
- Strong time management skills.
Special Factors
Sponsorship
Vanguard is not offering visa sponsorship for this position.About Vanguard
At Vanguard we dont just have a missionwere on a mission.
To work for the longterm financial wellbeing of our clients. To lead through product and services that transform our clients lives. To learn and develop our skills as individuals and as a team. From Malvern to Melbourne our mission drives us forward and inspires us to be our best.
Our commitment to diversity equity and inclusion
Vanguards commitment to diversity equity and inclusion (DEI) is central to our ability to deliver on our mission. We aspire to create a work environment that is inclusive equitable and diverseone that enables our employees whom we call crew to thrive and bring their best selves to work every day on behalf of our clients.
Cultivating DEI lifts our entire organization and everyone shares accountability for our progressfrom our senior leaders who lay the foundation and set the example for inclusive behaviors to crew who are growing in their personal DEI learning experiences.
Together were on a mission. We are fueled by the value of diverse voices and connected through friendships and a culture of carefor our clients our communities and each other.
Vanguards DEI journey has no finish line. Our commitment is enduring and we remain focused on the path ahead. To learn more about Vanguard goals and progress toward DEI download our Diversity Equity and Inclusion Report.
How We Work
Vanguard has implemented a hybrid working model for the majority of our crew members designed to capture the benefits of enhanced flexibility while enabling inperson learning collaboration and connection. We believe our missiondriven and highly collaborative culture is a critical enabler to support longterm client outcomes and enrich the employee experience.
Required Experience:
Senior IC
Employment Type
Full-Time
