Legal Analyst Capital Markets Team

Profile

Legal Analyst – Capital Markets Team
Duties: Serves as a primary legal point of coverage for the IMG portfolio management, credit, and risk teams. Advises IMG portfolio management teams on nondisclosure agreements and investor letters. Identifies and designs processes and procedures to improve support of IMG trading and U.S. Mutual fund/ETF investments in compliance with regulatory requirements. Develops subject matter expertise in defined areas of law, such as those relating to money market funds, liquidity risk management, or private placements. Conducts other related responsibilities, including assessing registration statement disclosure and Board materials and supporting compliance and policy projects. 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. 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. 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. 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. Evaluates the regulatory impact of new products and investment strategies. May attend client meetings to stay abreast of new product offerings. Generates necessary reporting and leads the maintenance of legal databases. 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. Participates in special projects and performs other duties as assigned.

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