Vanguard · 3 months ago
Senior Counsel - Third Party Distribution
Malvern, PA
Full-time
Hybrid
Senior Level
5+ years expVanguard is a leading investment management company focused on the long-term financial wellbeing of its clients. The Senior Counsel will provide legal advice on distribution strategies for investment vehicles, ensuring compliance with relevant regulations and laws while collaborating with business leaders and outside counsel.
FinanceFinancial Services
No H1B
Responsibilities
Provides business leaders with legal advice on issues impacting Vanguard's distribution business activities, transactions, and regulatory matters. Ensures that business activities, policies, practices, and transactions comply with all relevant laws and regulations
Drafts and negotiates legal documents such as regulatory filings contracts, agreements, and correspondence of legal significance
Monitors, analyzes, and responds to legislative and regulatory developments related to Vanguard's business activities and investment products to ensure they are adequately addressed
Directs the work being performed by outside counsel. Reviews and evaluates outside counsel invoices
Maintains a high level of expertise in regulatory law, Vanguard’s 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
Develop and maintain relationships with key stakeholders to ensure a thorough understanding of business needs and objectives
Coaches junior staff and helps resolve problems
Participates in special projects and performs other duties as assigned
Qualification
Required
Minimum 5-7 years related legal work experience
Undergraduate degree or equivalent combination of training and experience
Law degree (JD) required
Deep technical expertise securities law required, with an emphasis on providing interpretative advice under the Securities Act of 1933 and 1934, FINRA broker-dealer regulation, ERISA, and the Investment Company Act of 1940
Commercial mindset and strong negotiation skills required
Company
Vanguard
Check is a client-owned investment company that offers low-cost mutual funds, ETFs, advice, and related services.
Founded in 1975Kelayres, Pennsylvania, USA
10001+ employees
Funding
Current Stage
Late StageTotal Funding
unknownKey Investors
ic@3401
2017-03-31Non Equity Assistance
Leadership Team
Salim Ramji
Chief Executive Officer
Andrew Maack
Principal, Head of US Equity Index Portfolio Management
Recent News
2026-01-20
2025-09-05
2025-03-15
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