Senior Counsel, Registered Funds

Jobtailor

Arizona

On-site

USD 140,000 - 210,000

Full time

7 days ago

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Job summary

Vanguard in the United States seeks an experienced attorney to advise on the Investment Company Act of 1940 and related regulations for registered funds. You will draft and negotiate key fund documents and monitor regulatory developments, coordinating with outside counsel on complex matters.

Ideal candidates have 4+ years in fund regulation, JD, and a strong grasp of SEC rules and fund governance. This role emphasizes mentorship and staying current with industry best practices.

Qualifications

Min 4 years of legal work on the Investment Company Act of 1940.
JD required and admitted to practice in relevant jurisdiction.
Strong knowledge of SEC regulations, fund governance, and disclosure obligations.
Experience with BDCs, closed-end funds, tender offer funds and interval funds preferred.

Responsibilities

Advise on the Investment Company Act of 1940 and related rules and regulations affecting registered funds, business activities, investment product development, transactions, and regulatory matters
Draft and negotiate registration statements, shareholder notifications, regulatory filings, advisory agreements, and other fund-related documents
Monitor, analyze, and respond to legislative and regulatory developments
Direct and manage outside counsel on complex fund-related matters
Maintain expertise in registered funds, regulatory law, Vanguard’s business and products, and industry best practices

Skills

Legal drafting

Negotiation

Regulatory compliance

Communication

Mentoring

Education

Juris Doctor (JD)

Undergraduate degree

Job description

Advise on the Investment Company Act of 1940 and related rules and regulations affecting registered funds, business activities, investment product development, transactions, and regulatory matters
Ensure business activities, policies, practices, and transactions comply with relevant laws and regulations
Draft and negotiate registration statements, shareholder notifications, regulatory filings, advisory agreements, and other fund-related documents
Monitor, analyze, and respond to legislative and regulatory developments
Assess regulatory impacts, determine required changes, and implement updates
Represent Vanguard’s interests with third parties, including the SEC
Direct and manage outside counsel on complex fund-related matters
Maintain 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
Participate in special projects and perform other assigned duties

Requirements

Minimum four years of related legal work experience focused 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 funds, and interval funds preferred
Excellent drafting, negotiation, and analytical skills
Ability to communicate complex regulatory concepts clearly to business partners
No visa sponsorship offered

Core Competencies

Demonstrates expertise in the Investment Company Act of 1940, SEC regulations, and fund governance, with strong drafting and negotiation skills. Capable of advising on compliance matters and communicating complex regulatory concepts effectively to business partners.

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