Assistant General Counsel, Retail Brokerage Platform

Serves as a subject matter expert and leads a team of legal professionals to provide the organization with legal advice and representation on matters related to Vanguard's business activities and investment products. Prepares resolutions to complex legal issues and participates in major legal actions. Liaises with business unit leadership on strategic issues and regulatory matters.

Core Responsibilities

1. Hires, evaluates, and supervises crew. Provides guidance and training as necessary to develop crew. Sets performance standards, reviews performance, and makes informed compensation decisions in accordance with all applicable Human Resources policies and procedures.

2. Acts as a subject matter expert and provides business leaders with legal advice on issues impacting Vanguard's business activities and investment products. Ensures that business activities, policies, practices, and transactions comply with all relevant laws and regulations.

3. Facilitates team operations including case assignment, budgeting, and professional development.

4. Reviews and approves legal documents such as regulatory filings, contracts, and correspondence of legal significance. Leads the negotiation of complex agreements.

5. Counsels senior management on policies, complex legal issues, and proposed changes in laws and regulations affecting Vanguard's business activities and investment products.

6. Represents the organization in the most complex, controversial, significant, or specialized legal proceedings before courts, government agencies, or other authorities so the organization's interests are protected.

7. Oversees the work being performed by outside counsel. Reviews and evaluates outside counsel invoices.

8. Maintains a high level of expertise in regulatory law, Vanguard?s business and products, and the investment industry. Stays abreast of industry and regulatory developments affecting Vanguard, and maintains affiliations with relevant industry, compliance, and risk associations. Builds and maintains an external network and keeps up to date on trends and best practices in the industry.

9. Participates in special projects and performs other duties as assigned.

Qualifications

• Minimum ten years related legal work experience. Supervisory experience preferred.
• Undergraduate degree or equivalent combination of training and experience. Law degree (JD) 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.