Senior Counsel — Registered Funds & SEC Compliance

Jobtailor; Arizona; On-site; USD 140,000 - 210,000; Full time

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

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.