Associate Counsel, Broker-Dealer

Website The Vanguard Group, Inc.

The Associate Counsel will provide oversight and legal support on broker-dealer issues supporting internal business partners in the Retail Investor Group (RIG), Vanguard’s retail brokerage business, which distributes funds and securities products. Responsibilities include driving initiatives relating to broker-dealer legal and compliance programs, as well as leading regulatory inquiries from the SEC, FINRA and state regulators. Strong collaboration and partnership required with Compliance and Risk colleagues.

Responsibilities:

  • Manage relationships with and provide legal guidance to Vanguard’s business division that provides brokerage services to retail clients.
  • Provide regulatory support to Vanguard’s retail brokerage business on client, trading and operations activities.
  • Provide legal support for financial operations matters, including financial responsibility and customer protection issues.
  • Serve as legal counsel for broker-dealer regulatory inspections, examinations and inquiries.
  • Provide legal support for the Compliance Department on matters relating to supervision, licensing, books and records and FINRA membership.
  • Provide legal support on investment advisory issues related to brokerage trading.

Qualifications:

  • Bachelor’s degree required
  • J.D. from an Accredited Law School required
  • Minimum 4 years of related experience
  • Knowledge and familiarity with Securities Exchange Act of 1934, Investment Advisers Act of 1940, Investment Company Act of 1940 and relevant SEC and FINRA regulations

About Vanguard

We are Vanguard. Together, we’re changing the way the world invests.

For us, investing doesn’t just end in value. It starts with values. Because when you invest with courage, when you invest with clarity, and when you invest with care, you can get so much more in return. We invest with purpose – and that’s how we’ve become a global market leader. Here, we grow by doing the right thing for the people we serve. And so can you.

We want to make success accessible to everyone. This is our opportunity. Let’s make it count.

Inclusion Statement

Vanguard’s continued commitment to diversity and inclusion is firmly rooted in our culture. Every decision we make to best serve our clients, crew (internally employees are referred to as crew), and communities is guided by one simple statement: “Do the right thing.”

We believe that a critical aspect of doing the right thing requires building diverse, inclusive, and highly effective teams of individuals who are as unique as the clients they serve. We empower our crew to contribute their distinct strengths to achieving Vanguard’s core purpose through our values.

When all crew members feel valued and included, our ability to collaborate and innovate is amplified, and we are united in delivering on Vanguard’s core purpose.

Our core purpose: To take a stand for all investors, to treat them fairly, and to give them the best chance for investment success.

To apply for this job email your details to linda_shi@vanguard.com