Registered Funds Senior Counsel

Vanguard; Charlotte (NC); Hybrid; USD 180,000 - 240,000; Full time

Job summary

Vanguard's Office of the General Counsel is seeking a seasoned attorney to provide legal guidance on matters related to the Investment Company Act of 1940. You will advise on fund formation, governance, regulatory compliance, and strategic initiatives, partnering with business leaders to shape products and initiatives for investors.

You will draft and negotiate key fund documents, monitor SEC developments, and manage outside counsel on complex matters while mentoring junior attorneys in a

Qualifications

• JD degree and bar admission in a relevant jurisdiction.
• Strong knowledge of the Investment Company Act of 1940 and SEC rules.
• Proven ability to draft and negotiate fund-related documents.
• Experience advising on governance, compliance, and regulatory matters.

Responsibilities

• Advise on the Investment Company Act of 1940 and related rules affecting Vanguard funds and activities.
• Draft and negotiate registration statements, advisory agreements, and fund documents.
• Monitor regulatory developments and implement necessary updates.
• Represent Vanguard with government agencies, including the SEC.
• Direct outside counsel on complex fund-related matters.
• Maintain deep expertise in registered funds and regulatory law.
• Mentor junior attorneys and staff within a collaborative team.
• Participate in special projects and other duties as assigned.

Skills

Investment Company Act of 1940

Regulatory compliance

Fund governance

Drafting & negotiation

Communication of regulatory concepts

Education

Juris Doctor (JD)

Bar admission in relevant jurisdiction

Job description

Vanguard’s Office of the General Counsel (OGC) is a trusted partner in advancing the firm’s mission to give investors the best chance for investment success. In this role, you will provide the organization with legal advice and representation on matters related to the Investment Company Act of 1940. You will advise on fund formation, governance, regulatory compliance, and strategic initiatives. You will partner with business leaders to help shape new and existing products and collaborate on high-impact initiatives focused on driving value for investors.

Responsibilities:

• Advise on the Investment Company Act of 1940 and related rules and regulations impacting Vanguard’s registered funds, business activities, investment product development, transactions, and regulatory matters. Ensure that business activities, policies, practices, and transactions comply with all relevant laws and regulations.
• Draft and negotiate legal documents such as registration statements, shareholder notifications, regulatory filings, advisory agreements, and other fund-related documents.
• Monitor, analyze, and respond to legislative and regulatory developments related to Vanguard's business activities and investment products to assess the impact, analyze any changes required, and implement updates as necessary.
• Represent Vanguard’s interests with third parties, including government agencies such as the SEC.
• Direct and manage outside counsel on complex fund-related matters.
• Maintain deep expertise in registered funds, regulatory law, Vanguard’s business and products, and industry best practices. Stay current on SEC guidance, rulemaking, and enforcement trends.
• Mentor junior attorneys and legal staff and contribute to a collaborative team environment.
• Participate in special projects and perform other duties as assigned.

Qualifications:

• Minimum four years related legal work experience with a focus on the Investment Company Act of 1940.
• Undergraduate degree or equivalent combination of training and experience. Law degree (JD) required; admission to practice in relevant jurisdiction.
• Strong working knowledge of SEC regulations, fund governance, disclosure obligations, and investment adviser compliance. Familiarity with BDCs, closed-end funds (tender offer and interval funds) preferred.
• Excellent drafting, negotiation, and analytical skills. Ability to communicate complex regulatory concepts clearly to business partners.

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.