The OGC Capital Markets team partners with IMG, RMG, and PRD to ensure Vanguard continues to offer best-in-class mutual funds, ETFs, and trusts. We do this by providing key legal and regulatory expertise relating to portfolio management, risk management, investments, and indexing.

In this role, you will:

  • Serve as a primary legal point of coverage for the IMG portfolio management, credit, and risk teams
  • Advise IMG portfolio management teams on nondisclosure agreements and investor letters
  • Identify and design processes and procedures to improve support of IMG trading and U.S. mutual fund/ETF investments in compliance with regulatory requirements
  • Develop subject matter expertise in defined areas of law, such as those relating to money market funds, liquidity risk management, or private placements
  • Conduct other related responsibilities, include assessing registration statement disclosure and Board materials and supporting compliance and policy projects

This exciting role includes:

  • The opportunity to develop expertise in the regulatory framework applicable to the asset management industry and support the portfolio management process
  • The opportunity to work with crew in OGC, IMG, RMG, and PRD on emerging issues in the asset management industry

The ideal candidate will have the following skills and experience:

  • Ability to be proactive and independent
  • Ability to learn and grow quickly
  • Ability to be organized, detail-oriented, and analytical
  • Ability to prioritize, flex, and work as part of a team
  • Ability to write and speak clearly
  • Working knowledge of Vanguard’s products and financial instruments
  • Familiarity with portfolio management, indexing, securities, contracts, and/or the regulatory framework applicable to the asset management industry (you don’t need to be familiar with all of these).

Core Responsibilities

1. Drafts and translates legal documents and correspondence. Develops and prepares materials for meetings. May meet with the business, under supervision by legal counsel, to provide advice on regulatory and legal developments related to Vanguard’s business activities and investment products.

2. Assists with the review and resolution of day-to-day operational, risk and legal issues related to Vanguard’s business activities and investment products. Interprets legal documentation, handles policy and procedure issues, and investigates contractual disputes.

3. Conducts independent research, investigation and analysis on market structure and investment regulatory and policy issues to support legal activities and contribute to the resolution of claims.

4. Investigates and aggregates resources for attorneys such as statutes, recorded judicial decisions, articles, and legal codes to support the preparation of legal documents and contracts.

5. Evaluates the regulatory impact of new products and investment strategies. May attend client meetings to stay abreast of new product offerings.

6. Generates necessary reporting and leads the maintenance of legal databases.

7. Develops expertise in applicable areas of the law, Vanguard’s business and products, and the investment industry. Stays abreast of industry and regulatory developments affecting Vanguard.

8. Participates in special projects and performs other duties as assigned.

Qualifications

  • Minimum of three years related work experience, paralegal/legal and regulatory experience in the financial services industry preferred.
  • Undergraduate degree or equivalent combination of training and experience.

Source: for more information click here.

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