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Vanguard · 6 days ago

Senior Counsel, Regulatory Response and Investigations

Malvern, PA

Full-time

Hybrid

Senior Level

5+ years exp

Vanguard is a leading investment management company seeking a Senior Counsel for Regulatory Response and Investigations. The role involves leading regulatory responses, managing internal investigations, and advising senior leaders on complex legal matters in the financial services industry.

FinanceFinancial Services

No H1B

Responsibilities

Lead and support responses to enforcement investigations and other regulatory inquiries (e.g., matters involving the SEC, FINRA, and state securities regulators)

Conduct and support internal investigations

Direct and manage outside counsel and other external advisors

Advise OGC and business leaders on regulatory enforcement risk and pending matters

Draft and negotiate regulatory submissions, legal memos, agreements, and other legal documents and correspondence, as well as communications for a business audience

Coordinate with and support civil litigation teams

Develop and maintain OGC procedures for managing regulatory responses and internal investigations

Maintain a high level of expertise in relevant legal and regulatory issues, Vanguard’s business, and the investment industry

Participate in special projects and performs other duties as assigned

Qualification

Law degree (JD)Bar admissionRegulatory enforcement experienceInternal investigation experienceFinancial services experience

Required

Law degree (JD) and Bar admission required

Minimum five years of legal practice involving regulatory enforcement, internal investigation, or similar matters

Preferred

Financial services industry experience strongly preferred

Company

Vanguard

Glassdoor3.7

Check is a client-owned investment company that offers low-cost mutual funds, ETFs, advice, and related services.

Founded in 1975

Kelayres, Pennsylvania, USA

10001+ employees

http://investor.vanguard.com/corporate-portal

Funding

Current Stage

Late Stage

Total Funding

unknown

Key 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

PR Newswire

Vanguard Appoints Natalie Lamarque as Chief Legal Officer

2025-09-05

citybiz

Vanguard Managing Director Karin Risi to Retire

2025-03-15

PR Newswire

Vanguard to Establish New Advice & Wealth Management Division Led by Industry Veteran Joanna Rotenberg

2025-03-14

Company data provided by crunchbase