Senior Counsel – Personal Investor Retail Brokerage
| Company | Vanguard |
|---|---|
| Location | Malvern, PA, USA |
| Salary | $Not Provided – $Not Provided |
| Type | Full-Time |
| Degrees | Bachelor’s, JD |
| Experience Level | Senior |
Requirements
- Bachelor’s degree and J.D. from an accredited law school
- Minimum 5 years of related experience required
- Knowledge of FINRA, SEC, state and banking regulations applicable to retail broker-dealers and investment advisors
- Experience and comfort in dealing with ambiguity and working in a fast-paced environment
- Able to lead and work independently, while juggling multiple initiatives
- Excellent interpersonal, oral and written communication skills
- Applies a partnership-focused philosophy to accomplishing objectives
Responsibilities
- Provide legal and regulatory advice related to all aspects of the brokerage platform, including investment products, retirement accounts and services, cash management account, marketing and distribution, servicing and operations, digital platforms and AI solutions, and related strategic initiatives.
- Advise on FINRA, SEC and related regulations with a solutions-oriented mindset; draft and maintain client account agreements, regulatory disclosures and related legal memoranda.
- Develop and maintain relationships with key stakeholders to ensure a thorough understanding of business needs and objectives.
- Support and triage client-related issues, including complaints and fraud-related events; lead and partner to support regulatory exams, inquiries and actions.
- Collaborate with Compliance, Risk, Audit and other shared service functions, to evaluate and establish appropriate governance and oversight; ensure appropriate policies, procedures and supervisory framework on broad broker-dealer related and market issues.
- Monitor, analyze, and respond to legislative and regulatory developments related to brokerage activities and investment products.
Preferred Qualifications
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No preferred qualifications provided.