Vanguard is a global leader in financial products and services, committed to excellence and the growth of its employees, known as crew members. The Office of the General Counsel at Vanguard addresses complex legal and compliance issues. To support its expanding business, Vanguard seeks a Senior Counsel, Capital Markets to focus on the legal, regulatory, and policy needs of its portfolio management function.
Responsibilities:
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Provides legal advice to Vanguard's investment management business leaders and business units, including fixed income and municipal investment units, to ensure their activities, policies, business practices, and transactions comply with all relevant laws and regulations.
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Reviews and negotiates legal documents related to Vanguard's investment management activities, including fixed income and municipal security investments, and correspondence of legal significance.
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Monitors, analyzes, and responds to related legislation and regulatory developments to ensure they are adequately addressed.
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Represents the organization in related complex, controversial, significant, or specialized legal proceedings so the organization's interests are protected.
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Directs the work being performed by outside counsel. Reviews and evaluates outside counsel findings, suggestions. Ensures invoices are accurate.
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Maintains a high level of expertise in applicable areas of the law, Vanguard's business, and the investment industry. Stays abreast of industry and regulatory developments affecting Vanguard, and maintains affiliations with relevant industry, compliance, and risk associations.
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Coaches junior staff and helps resolve problems.
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Participates in special projects and performs other duties as assigned.
Qualifications:
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Minimum three years related legal work experience.
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Undergraduate and Law degree (JD).
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Legal analysis experience required.
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Knowledge of securities regulations applicable to public finance, fixed income and/or municipal securities markets required.
Special Factors
Sponsorship
Vanguard is not offering visa sponsorship for this position.
About Vanguard
At Vanguard, we don't just have a mission—we're on a mission.
To work for the long-term 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.
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 in-person learning, collaboration, and connection. We believe our mission-driven and highly collaborative culture is a critical enabler to support long-term client outcomes and enrich the employee experience.
Top Skills
What We Do
We are a community of 30 million who think – and feel – differently about investing. Together, we’re changing the way the world invests.
Since our founding in 1975, helping our investors achieve their goals is our sole reason for existence. With no other parties to answer to and therefore no conflicting loyalties, we make every decision—like keeping investing costs as low as possible—with only your needs in mind.
Vanguard is one of the world's largest investment companies, offering a large selection of high-quality low-cost mutual funds, ETFs, advice, and related services. Individual and institutional investors, financial professionals, and plan sponsors can benefit from the size, stability, and experience Vanguard offers. As of April 30, 2019, we managed more than $5.6 trillion in global assets. In addition, we have 189 funds in the United States and 225 funds in global markets.
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