Sr Counsel, Regulatory Response and Investigations

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

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.