Senior Counsel, Litigation, Enforcement, and Investigations

Candidates must share Vanguard’s core values, including unmatched ethical standards and client service, strong work ethic, and can-do attitude. Candidates must foster a team environment by building collaborative, trusting relationships with others through effective communication, empathy, and respect. Additionally, you must be skilled at balancing business and legal needs and managing multiple projects at one time.

Responsibilities:

Act as a subject matter expert and provide business leaders with legal advice related to litigation and investigations

Handle litigation and oversee legal staff representing the organization in legal proceedings and litigation before courts, government agencies, or other authorities

Support Vanguard in a variety of internal investigations in collaboration with other teams across the enterprise

Represent Vanguard in connection with regulatory investigations and enforcement matters from the SEC, FINRA, and other regulatory authorities including non-U.S. regulators

Direct the work being performed by outside counsel in connection with civil litigation and regulatory investigations and enforcement matters

Provide advice regarding, and develop strategies for dealing with litigation, investigations, and enforcement matters

Identify, assess, and mitigate potential legal and regulatory risks

Support the development and substantive work of legal analysts on the team

Qualifications:

Minimum eight years of combined legal education and experience with four to six years of relevant experience at a law firm or in a corporate legal department.

Undergraduate degree or equivalent combination of training and experience. Law degree (JD) preferred.

General litigation, class action, and FINRA arbitration experience.

Experience conducting internal investigations and representing broker-dealers and investment advisors in SEC and FINRA investigations and enforcement matters.

Excellent judgment, communication, and relationship management skills.

Excellent undergraduate and law school academic credentials.

Special Factors

Sponsorship

Vanguard is not offering visa sponsorship for this position.

About Vanguard

At Vanguard, we dont just have a mission—were 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.

Our commitment to diversity, equity, and inclusion

Vanguard’s commitment to diversity, equity, and inclusion (DEI) is central to our ability to deliver on our mission. We aspire to create a work environment that is inclusive, equitable, and diverse—one that enables our employees, whom we call crew, to thrive and bring their best selves to work every day on behalf of our clients.

Cultivating DEI lifts our entire organization, and everyone shares accountability for our progress—from our senior leaders who lay the foundation and set the example for inclusive behaviors to crew who are growing in their personal DEI learning experiences.

Together, we’re on a mission. We are fueled by the value of diverse voices and connected through friendships and a culture of care—for our clients, our communities, and each other.

Vanguard’s DEI journey has no finish line. Our commitment is enduring, and we remain focused on the path ahead. To learn more about Vanguard goals and progress toward DEI, download our Diversity, Equity, and Inclusion Report (https://corporate.vanguard.com/content/corporatesite/us/en/corp/who-we-are/we-care-about/diversity-equity-inclusion.html) .

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.