Vanguard
Senior Counsel - Third Party Distribution
Vanguard, Charlotte, North Carolina, United States, 28245
Senior Counsel - Third Party Distribution
Join a dynamic legal team at the intersection of innovation and investor access, where you'll shape the future of product distribution across third‑party platforms and complex investment vehicles. This role will advise on the distribution of registered funds, collective investment trusts and other asset‑management vehicles within the retirement market—ensuring every product is crafted with precision, regulatory integrity, and strategic foresight. Your expertise in securities law and ERISA will be pivotal in driving compliant, forward‑thinking solutions.
Responsibilities:
Provide business leaders with legal advice on issues impacting Vanguard’s distribution business activities, transactions, and regulatory matters. Ensure that business activities, policies, practices, and transactions comply with all relevant laws and regulations.
Draft and negotiate legal documents such as regulatory filings, contracts, agreements, and correspondence of legal significance.
Monitor, analyze, and respond to legislative and regulatory developments related to Vanguard’s business activities and investment products to ensure they are adequately addressed.
Direct the work performed by outside counsel, reviewing and evaluating outside counsel invoices.
Maintain a high level of expertise in regulatory law, Vanguard’s business and products, and the investment industry; stay abreast of industry and regulatory developments affecting Vanguard, and maintain affiliations with relevant industry, compliance, and risk associations.
Develop and maintain relationships with key stakeholders to ensure a thorough understanding of business needs and objectives.
Coach junior staff and help resolve problems.
Participate in special projects and perform other duties as assigned.
Qualifications:
Minimum 5–7 years of related legal work experience.
Undergraduate degree or equivalent combination of training and experience; Law degree (JD) required.
Deep technical expertise in securities law, with an emphasis on interpretative advice under the Securities Act of 1933 and 1934, FINRA broker‑dealer regulation, ERISA, and the Investment Company Act of 1940.
Commercial mindset and strong negotiation skills.
Special Factors
Vanguard is not offering visa sponsorship for this position.
About Vanguard
At Vanguard, we don’t just have a mission—we’re on a mission to work for the long‑term financial wellbeing of our clients, to lead through product and services that transform our clients’ lives, to learn and develop our skills as individuals and as a team. From Malvern to Melbourne, our mission drives us forward and inspires us to be our best.
How We Work
Vanguard has implemented a hybrid working model for the majority of our crew members, designed to capture the benefits of enhanced flexibility while enabling in‑person learning, collaboration, and connection. We believe our mission‑driven and highly collaborative culture is a critical enabler to support long‑term client outcomes and enrich the employee experience.
Employment type: Full‑time
Job function: Legal
Seniority level: Mid‑Senior level
Location: Charlotte, NC
Salary: $155,000.00–$180,000.00 (USD)
Apply now to join Vanguard.
#J-18808-Ljbffr
Responsibilities:
Provide business leaders with legal advice on issues impacting Vanguard’s distribution business activities, transactions, and regulatory matters. Ensure that business activities, policies, practices, and transactions comply with all relevant laws and regulations.
Draft and negotiate legal documents such as regulatory filings, contracts, agreements, and correspondence of legal significance.
Monitor, analyze, and respond to legislative and regulatory developments related to Vanguard’s business activities and investment products to ensure they are adequately addressed.
Direct the work performed by outside counsel, reviewing and evaluating outside counsel invoices.
Maintain a high level of expertise in regulatory law, Vanguard’s business and products, and the investment industry; stay abreast of industry and regulatory developments affecting Vanguard, and maintain affiliations with relevant industry, compliance, and risk associations.
Develop and maintain relationships with key stakeholders to ensure a thorough understanding of business needs and objectives.
Coach junior staff and help resolve problems.
Participate in special projects and perform other duties as assigned.
Qualifications:
Minimum 5–7 years of related legal work experience.
Undergraduate degree or equivalent combination of training and experience; Law degree (JD) required.
Deep technical expertise in securities law, with an emphasis on interpretative advice under the Securities Act of 1933 and 1934, FINRA broker‑dealer regulation, ERISA, and the Investment Company Act of 1940.
Commercial mindset and strong negotiation skills.
Special Factors
Vanguard is not offering visa sponsorship for this position.
About Vanguard
At Vanguard, we don’t just have a mission—we’re on a mission to work for the long‑term financial wellbeing of our clients, to lead through product and services that transform our clients’ lives, to learn and develop our skills as individuals and as a team. From Malvern to Melbourne, our mission drives us forward and inspires us to be our best.
How We Work
Vanguard has implemented a hybrid working model for the majority of our crew members, designed to capture the benefits of enhanced flexibility while enabling in‑person learning, collaboration, and connection. We believe our mission‑driven and highly collaborative culture is a critical enabler to support long‑term client outcomes and enrich the employee experience.
Employment type: Full‑time
Job function: Legal
Seniority level: Mid‑Senior level
Location: Charlotte, NC
Salary: $155,000.00–$180,000.00 (USD)
Apply now to join Vanguard.
#J-18808-Ljbffr