Assistant General Counsel, Litigation, Enforcement and Investigations
Vanguard's Office of the General Counsel addresses a wide range of complex and compelling legal and compliance issues.
To support its growing business, Vanguard is seeking an attorney to handle litigation and dispute resolution for Vanguard and its subsidiaries in a broad portfolio of civil litigation.
This attorney may also conduct internal investigations and represent Vanguard in regulatory investigations and enforcement matters.
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.
In this role you will 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 and Experience (What it takes):
Minimum 6 years of relevant experience at a law firm General litigation and class action experience FINRA arbitration experience Experience conducting internal investigations Experience representing broker-dealers and investment advisors in SEC and FINRA investigations and enforcement matters Excellent undergraduate and law school academic credentials Excellent judgment Excellent communication and relationship management skills J.
D.
from an accredited law school About VanguardWe are Vanguard.
Together, we're changing the way the world invests.
For us, investing doesn't just end in value.
It starts with values.
Because when you invest with courage, when you invest with clarity, and when you invest with care, you can get so much more in return.
We invest with purpose - and that's how we've become a global market leader.
Here, we grow by doing the right thing for the people we serve.
And so can you.
We want to make success accessible to everyone.
This is our opportunity.
Let's make it count.
Inclusion StatementVanguard's continued commitment to diversity and inclusion is firmly rooted in our culture.
Every decision we make to best serve our clients, crew (internally employees are referred to as crew), and communities is guided by one simple statement:
Do the right thing.
We believe that a critical aspect of doing the right thing requires building diverse, inclusive, and highly effective teams of individuals who are as unique as the clients they serve.
We empower our crew to contribute their distinct strengths to achieving Vanguard's core purpose through our values.
When all crew members feel valued and included, our ability to collaborate and innovate is amplified, and we are united in delivering on Vanguards core purpose.
Our core purpose:
To take a stand for all investors, to treat them fairly, and to give them the best chance for investment success.
Future of WorkDuring the pandemic, we transitioned to a work from home model for the majority of our crew and we continue to interview, hire, and on-board future crew remotely.
As we have developed the path forward, we have taken a thoughtful approach that both maximizes the advantages of working remotely and the many benefits of coming together and collaborating in a shared workspace.
We believe that in-person interactions among our crew are important for preserving our unique culture and advantageous for the personal development of our crew.
When our Crew return to the office, many will work in our hybrid model.
A smaller proportion of our crew will operate in the Work from Home work model (for example, field sales crew); or in the Work from Office model (for example, portfolio managers).
The working model that your role falls into will be communicated to you in the interview process - please do ask if you are unsure.
We encourage you to make the decision regarding your job interview and offer knowing which model your role will fall into.
We will test and learn as our ways of working evolve and will continue to evaluate working models along the way.
Recommended Skills Business Relationship Management Class Action Communication Customer Service Ethics Hardworking And Dedicated Estimated Salary: $20 to $28 per hour based on qualifications.
To support its growing business, Vanguard is seeking an attorney to handle litigation and dispute resolution for Vanguard and its subsidiaries in a broad portfolio of civil litigation.
This attorney may also conduct internal investigations and represent Vanguard in regulatory investigations and enforcement matters.
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.
In this role you will 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 and Experience (What it takes):
Minimum 6 years of relevant experience at a law firm General litigation and class action experience FINRA arbitration experience Experience conducting internal investigations Experience representing broker-dealers and investment advisors in SEC and FINRA investigations and enforcement matters Excellent undergraduate and law school academic credentials Excellent judgment Excellent communication and relationship management skills J.
D.
from an accredited law school About VanguardWe are Vanguard.
Together, we're changing the way the world invests.
For us, investing doesn't just end in value.
It starts with values.
Because when you invest with courage, when you invest with clarity, and when you invest with care, you can get so much more in return.
We invest with purpose - and that's how we've become a global market leader.
Here, we grow by doing the right thing for the people we serve.
And so can you.
We want to make success accessible to everyone.
This is our opportunity.
Let's make it count.
Inclusion StatementVanguard's continued commitment to diversity and inclusion is firmly rooted in our culture.
Every decision we make to best serve our clients, crew (internally employees are referred to as crew), and communities is guided by one simple statement:
Do the right thing.
We believe that a critical aspect of doing the right thing requires building diverse, inclusive, and highly effective teams of individuals who are as unique as the clients they serve.
We empower our crew to contribute their distinct strengths to achieving Vanguard's core purpose through our values.
When all crew members feel valued and included, our ability to collaborate and innovate is amplified, and we are united in delivering on Vanguards core purpose.
Our core purpose:
To take a stand for all investors, to treat them fairly, and to give them the best chance for investment success.
Future of WorkDuring the pandemic, we transitioned to a work from home model for the majority of our crew and we continue to interview, hire, and on-board future crew remotely.
As we have developed the path forward, we have taken a thoughtful approach that both maximizes the advantages of working remotely and the many benefits of coming together and collaborating in a shared workspace.
We believe that in-person interactions among our crew are important for preserving our unique culture and advantageous for the personal development of our crew.
When our Crew return to the office, many will work in our hybrid model.
A smaller proportion of our crew will operate in the Work from Home work model (for example, field sales crew); or in the Work from Office model (for example, portfolio managers).
The working model that your role falls into will be communicated to you in the interview process - please do ask if you are unsure.
We encourage you to make the decision regarding your job interview and offer knowing which model your role will fall into.
We will test and learn as our ways of working evolve and will continue to evaluate working models along the way.
Recommended Skills Business Relationship Management Class Action Communication Customer Service Ethics Hardworking And Dedicated Estimated Salary: $20 to $28 per hour based on qualifications.
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