Senior Counsel, Regulatory Response and Investigations

Vanguard • Malvern, PA • 1d ago

Join a dynamic legal team where your expertise will drive high-impact regulatory response and investigative work. This role offers the opportunity to lead responses to enforcement investigations and other regulatory inquiries, manage internal investigations, and advise senior leaders on complex legal matters. Ideal for a practiced attorney with a strong background in the financial services industry, this position blends strategic influence with hands-on legal execution in a collegial but high-stakes environment.

Responsibilities:

Lead and support responses to enforcement investigations and other regulatory inquiries (e.g., matters involving the SEC, FINRA, and state securities regulators).

Conduct and support internal investigations.

Direct and manage outside counsel and other external advisors.

Advise OGC and business leaders on regulatory enforcement risk and pending matters.

Draft and negotiate regulatory submissions, legal memos, agreements, and other legal documents and correspondence, as well as communications for a business audience.

Coordinate with and support civil litigation teams.

Develop and maintain OGC procedures for managing regulatory responses and internal investigations.

Maintain a high level of expertise in relevant legal and regulatory issues, Vanguard's business, and the investment industry.

Participate in special projects and performs other duties as assigned.

Qualifications:

Law degree (JD) and Bar admission required.

Minimum five years of legal practice involving regulatory enforcement, internal investigation, or similar matters.

Financial services industry experience strongly preferred.

Special Factors

Sponsorship

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.

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