Assistant General Counsel, Retail Brokerage Platform
Top focus
Vanguard’s core purpose is to take a stand for all investors, to treat them fairly, and to give them the best chance for investment success. Vanguard’s Legal Department provides exceptional, high-value business partnership and legal support to our innovative, multi-faceted and regulated business lines.
Vanguard is seeking a senior attorney to serve as a strategic legal partner to the Personal Wealth business, supporting the retail brokerage and wealth platform , which serves over 9 million clients. This role sits at the intersection of trading, investment product innovation, and platform governance, supporting a full-service offering competitive with leading brokerage firms.
You will advise on the design, distribution, and oversight of brokerage capabilities and investment products across public and private markets, partnering closely with business, compliance, and risk leaders to enable responsible growth and market leadership
Key Responsibilities
- Advise on brokerage trading activities, including order handling, execution, market access, and evolving U.S. market structure (equities, options, ETFs, fixed income).
- Counsel on a broad range of distribution of investment products, including mutual funds, ETFs, fixed income, and alternative investments (private equity, private credit, and other private markets solutions).
- Provide guidance on product development, distribution, and lifecycle governance, ensuring strong supervisory and risk frameworks from launch through ongoing operations.
- Interpret and apply FINRA, SEC, and related regulations, including Reg BI, sales practices and supervision.
- Partner with senior leaders to s upport strategy considerations relating to platform innovation, including AI and digital enablement, advisory and wealth custodial capabilities and complex product s , in response to evolving regulatory and competitive market dynamics.
- Support regulatory exams, inquiries, and high-impact client or platform issues.
- Lead and develop legal talent, including mentoring junior attorneys and contributing to a strong, high-performing team culture
Qualifications
- J.D. with 10+ years of experience in broker-dealer, investment management
- financial services law Deep expertise in trading/market structure and brokerage regulation Experience with a broad range of investment products, including alternatives/private markets Track record advising on product governance, supervision
- platform risk management Strong executive presence with the ability to influence and partner across senior stakeholders Demonstrated people leadership experience or readiness to step into a management role, including mentoring, developing talent
- driving team performance 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.