Assistant General Counsel, Retail Brokerage Platform

About the role

Vanguard seeks a seasoned attorney to serve as a strategic legal partner to the Personal Wealth business, supporting the retail brokerage and wealth platform. This role involves advising on trading activities, distribution of investment products, and product governance, while also interpreting and applying relevant regulations.

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 the 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 support strategy considerations relating to platform innovation, including AI and digital enablement, advisory and wealth custodial capabilities, and complex products, 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, or 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, and 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, and driving team performance.

Special Factors

Sponsorship: Vanguard is not offering visa sponsorship for this position.