Senior Counsel - Registered Funds & Regulatory Compliance

Vanguard; Charlotte (NC); Hybrid; USD 120,000 - 210,000; Full time

Benefits offered by this job

Health insurance

Job summary

Vanguard's Office of the General Counsel (OGC) provides legal advice and representation on matters related to the Investment Company Act of 1940, advising on fund formation, governance, regulatory compliance, and strategic initiatives. The role partners with business leaders to shape new products and collaborate on high-impact initiatives focused on investor value.

The attorney drafts and negotiates fund-related documents, monitors regulatory developments, and directs outside counsel on complex

Qualifications

• JD degree and bar admission in relevant jurisdiction.
• Minimum four years of legal experience focused on Investment Company Act of 1940.
• Strong knowledge of SEC regulations, fund governance, and disclosure obligations.
• Excellent drafting and negotiation skills; ability to explain complex concepts to business partners.

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.
• 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.

Skills

Regulatory compliance

Drafting & negotiation

Analytical thinking

Communication with business partners

Education

JD required

Bar admission in relevant jurisdiction

Job description

Vanguard's Office of the General Counsel (OGC) provides legal advice and representation on matters related to the Investment Company Act of 1940, advising on fund formation, governance, regulatory compliance, and strategic initiatives. The role partners with business leaders to shape new products and collaborate on high-impact initiatives focused on investor value.

The attorney drafts and negotiates fund-related documents, monitors regulatory developments, and directs outside counsel on complex