Company: The Vanguard Group, Inc.
Position: Associate Counsel, Broker-Dealer
Location: Malvern, PA
Description: The Associate Counsel will provide oversight and legal support on broker-dealer issues supporting internal business partners in the Retail Investor Group (RIG), Vanguard’s retail brokerage business, which distributes funds and securities products. Responsibilities include driving initiatives relating to broker-dealer legal and compliance programs, as well as leading regulatory inquiries from the SEC, FINRA and state regulators. Strong collaboration and partnership required with Compliance and Risk colleagues.
- Manage relationships with and provide legal guidance to Vanguard’s business division that provides brokerage services to retail clients.
- Provide regulatory support to Vanguard’s retail brokerage business on client, trading and operations activities.
- Provide legal support for financial operations matters, including financial responsibility and customer protection issues.
- Serve as legal counsel for broker-dealer regulatory inspections, examinations and inquiries.
- Provide legal support for the Compliance Department on matters relating to supervision, licensing, books and records and FINRA membership.
Provide legal support on investment advisory issues related to brokerage trading.
- Bachelor’s degree required
- J.D. from an Accredited Law School required
- Minimum 4 years of related experience
- Knowledge and familiarity with Securities Exchange Act of 1934, Investment Advisers Act of 1940, Investment Company Act of 1940 and relevant SEC and FINRA regulations