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Vanguard · 4 days ago

Senior Counsel, Regulatory Response and Investigations

Malvern, PA

Full-time

Hybrid

Senior Level

5+ years exp

Vanguard is a company dedicated to the long-term financial wellbeing of its clients. They are seeking a Senior Counsel to drive regulatory response and investigative work, managing investigations and advising leaders on complex legal matters within the financial services industry.

FinanceFinancial Services

No H1B

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