Associate Counsel, ETF's, Mutual Funds and Enterprise Growth, Funds and Advisors Group, Office of the General Counsel

May 22, 2019|Malvern, PA, US
Job Requisition #124237

Are you a trusted advisor?

Vanguard is a leading provider of financial products and services to individual and institutional investors world-wide. Vanguard is known for its strong ethical business practices and client focus. Vanguard cultivates a collaborative, environment that rewards and recognizes distinguished individual performance. As a member of Vanguard’s Funds and Advisors team, you’ll work with a team of industry professionals who share a dedication to excellence as you represent Vanguard on a variety of investment management regulatory matters.

What it takes:

  • Four+ years of experience providing legal advice on securities, banking and/or insurance regulatory matters and academic credentials (J.D.)
  • Experience providing interpretive advice under the Investment Company Act of 1940 and the Investment Advisers Act of 1940 to mutual funds, ETFs and other pooled investment vehicles
  • Experience preparing SEC exemptive applications and no action letters is a plus
  • Experience advising a global asset management firm is strongly preferred or work experience at a securities regulatory agency
  • Business-focused, excellent judgment, creativity, technical expertise, initiative, and demonstrated interpersonal skills
  • Shares Vanguard’s values, including unmatched ethical standards, teamwork, client service, work ethic and positive attitude
  • Excellent leadership and relationship management skills coupled with the ability to collaborate with and work through others (up, down and sideways in the company)
  • Possess business, financial, and legal sophistication to relate to, work with, and persuade and influence team members, in-house corporate partners, and business clients at all levels, as well as senior management, regulators, and outside counsel

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.

May 22, 2019|Malvern, PA, US
Job Requisition #124237

Are you a trusted advisor?

Vanguard is a leading provider of financial products and services to individual and institutional investors world-wide. Vanguard is known for its strong ethical business practices and client focus. Vanguard cultivates a collaborative, environment that rewards and recognizes distinguished individual performance. As a member of Vanguard’s Funds and Advisors team, you’ll work with a team of industry professionals who share a dedication to excellence as you represent Vanguard on a variety of investment management regulatory matters.

What it takes:

  • Four+ years of experience providing legal advice on securities, banking and/or insurance regulatory matters and academic credentials (J.D.)
  • Experience providing interpretive advice under the Investment Company Act of 1940 and the Investment Advisers Act of 1940 to mutual funds, ETFs and other pooled investment vehicles
  • Experience preparing SEC exemptive applications and no action letters is a plus
  • Experience advising a global asset management firm is strongly preferred or work experience at a securities regulatory agency
  • Business-focused, excellent judgment, creativity, technical expertise, initiative, and demonstrated interpersonal skills
  • Shares Vanguard’s values, including unmatched ethical standards, teamwork, client service, work ethic and positive attitude
  • Excellent leadership and relationship management skills coupled with the ability to collaborate with and work through others (up, down and sideways in the company)
  • Possess business, financial, and legal sophistication to relate to, work with, and persuade and influence team members, in-house corporate partners, and business clients at all levels, as well as senior management, regulators, and outside counsel

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.

Our commitment to equal employment opportunity

Vanguard is an equal opportunity employer. Vanguard is committed to providing all crew members a working environment that is free from discrimination, prejudice and bias. Through this Equal Employment Opportunity (EEO) Policy, Vanguard reaffirms its commitment to equal employment opportunity for all applicants and crew members without regard to race, color, national origin or ancestry, religion, gender, sex, sexual orientation, gender identity or expression, age, disability, marital status, veteran or military status. In addition, Vanguard prohibits discrimination based on genetic information, as well as any other characteristic protected by federal, state or local law.

Applicants with disabilities may be entitled to reasonable accommodation under the Americans with Disabilities Act and certain state or local laws. A reasonable accommodation is a change in the way things are normally done which will ensure an equal employment opportunity without imposing undue hardship on Vanguard. Please inform careers@vanguard.com if you need assistance completing this application or to otherwise participate in the application process.

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