• Sr Counsel, Regulatory Response and Investigations

    Vanguard (Malvern, PA)


    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, 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.