Associate Counsel, Contracts Management, Intermediary Distribution

122802
Malvern, PA, US

February 15, 2019
At Vanguard, our core purpose is to take a stand for all investors, to treat them fairly, and to give them the best chance for investment success. We have a vibrant and multi-faceted business, and our Office of the General Counsel encounters a wide range of complex and compelling issues as we advance Vanguard’s core purpose by providing exceptional, high-value legal and compliance services. In addition, Vanguard is an employer of choice that continually invests in the growth, development and success of its employees over the course of their Vanguard careers.

To support its growing business, Vanguard is seeking a highly skilled attorney to support its Financial Advisor Services (FAS) division, which provides services and Vanguard investment products to financial advisor clients, including broker-dealers, asset managers, bank trust departments, registered investment advisers, and insurance companies.

Duties and Responsibilities

  • Leads Contracts Management and oversight of all third-party intermediary clients who distribute Vanguard funds
  • Drafts, reviews and negotiates, as applicable, various legal documents and items of legal significance, as necessary, such as contracts, amendments, memoranda, position statements, correspondence, and other documents and instruments
  • Conducts legal and/or factual research as necessary to support the needs and initiatives of the FAS business
  • Establishes and communicates company policy with regard to legal issues arising under particular areas of expertise
  • Provides assistance and support with regard to work being performed by outside counsel selected to represent Vanguard
  • Ensures that legal matters implicating areas across the company are adequately addressed by recognizing legal issues when they arise, bringing those issues to the right people in the Legal Department; and where necessary, coordinating responses to ensure that all legal concerns are addressed in a clear and consistent manner
  • Develops and maintains expertise in applicable areas of the law, Vanguard’s business, and the mutual fund industry, keeping current on industry and regulatory developments affecting our business, fostering an interest in Vanguard’s initiatives and new services and products offered, and researching applicable law, reading legal publications, and/or attending legal seminars
  • Supports and advances the Legal Department’s other projects, endeavors and standards by maintaining the Legal Department’s standards (through work ethic, responsiveness to clients, attitude, adherence to the Vanguard Code of Ethics and exercise of good judgment), initiating and implementing new projects as necessary or appropriate, supporting the Department’s VUE efforts, and supporting the Department’s contingency efforts
  • Participates in special projects and performs other duties as assigned

Qualifications

  • Minimum of 3 years of general corporate contracts or securities law experience, including the Securities Act of 1933 and 1934, FINRA broker-dealer regulation and/or the Investment Company Act of 1940
  • Graduate degree or equivalent combination of training and experience. Law degree (J.D. or equivalent)
  • Exceptional leadership, organizational and interpersonal skills
  • Demonstrated persuasive and influencing capabilities
  • Ability to work quickly and independently with attention to detail and sensitivity to deadlines
  • Demonstrated client relationship and communication skills

Special Factors

  • You should be aware this will designate you as a Fund Access Person and carries with it certain responsibilities and restrictions.