Assistant General Counsel, Retail Brokerage Platform

Vanguard

Senior attorney at Vanguard advising on trading activities and product governance for retail brokerage. Leading legal support for investment product innovation and regulatory compliance.

Posted 6/17/2026full-timeMalvern • North Carolina, Pennsylvania • 🇺🇸 United StatesSeniorLeadWebsite

About the role

Key responsibilities & impact

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 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

Requirements

What you’ll need

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

Benefits

Comp & perks

Health insurance
401(k) matching
Flexible work hours
Paid time off
Professional development opportunities

ATS Keywords

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Applicant Tracking System Keywords

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Hard Skills & Tools

brokerage tradingorder handlingexecutionmarket accessproduct developmentlifecycle governancerisk frameworkstrading/market structurebroker-dealer regulationinvestment management law

Soft Skills

executive presenceinfluencepartneringpeople leadershipmentoringdeveloping talentdriving team performance

Certifications

J.D.