This is an exciting opportunity to join Vanguard's Office of the General Counsel! As a Legal Analyst on the Subpoena Response Team (SRT), you will work with attorneys, legal analysts, and other support personnel to receive, triage, and respond to third-party subpoenas and other legal process. The SRT manages all aspects of legal process responses (including responses to subpoenas, court-order injunctions, restraining orders, judgments, writs, garnishments, interrogatories, Summons to Trustee, joinders, search warrants, seizure warrants and other court related inquiries). The team also responds to information requests from clients, attorneys, law enforcement agencies, and internal contacts.
Duties and Responsibilities
In this role you will:
Analyze and conduct fact investigation related to legal documents (such as subpoenas) served on Vanguard in litigation-related matters in which Vanguard is not a party. Research relevant areas of state and Federal law, decide whether and how to comply with the legal documents, collaborate with in-house counsel as necessary.
Analyze and determine appropriate course of action when responding to court orders and other legal documents received from law enforcement agencies, attorneys, and regulators.
Develop an understanding of existing relevant state and Federal laws. Identify applicable laws and regulations and provide guidance to business clients regarding best practices and implementation of controls and procedures.
Communicate with counsel representing parties in litigation about adherence to service rules, preservation of objections, negotiation of deadlines, and scope of document production.
Draft clear, professional written communications to Vanguard clients, counsel representing clients, court personnel, law enforcement, and crew.
Provide high quality services to Vanguard clients by responding timely and professionally to Vanguard clients' questions and complaints about Vanguard's position with respect to account restrictions.
Identify potential risks and provide risk management guidance to retail and institutional businesses across sites regarding client issues. Analyze issues to evaluate the needs of Vanguard's clients and recommend appropriate resolution that mitigates potential risk to Vanguard.
Identify and protect sensitive documents and communications related to clients, service providers, Vanguard's businesses, and similar matters.
Support assessments of risk to help meet business objectives by analyzing workflows and identifying potential roadblocks and opportunities. Provide recommendations on implementing appropriate controls.
Collaborate with Vanguard in-house counsel and outside counsel on elevated subpoena-related matters. Provide support with case investigation and discovery issues through fact investigation and document research, including preparation of detailed factual chronologies, and review of documents for production to determine responsiveness and potential objections to production.
Proactively provide training, coaching, and feedback to new team members.
Support the Legal Department's other projects, endeavors, and standards by assuring adherence to the unit's quality standards.
Serve as Vanguard's Custodian of Records for trial and deposition testimony.
Participate in special projects and perform other duties as assigned.
What it takes:
Undergraduate degree, paralegal certificate, or equivalent combination of education and experience.
Minimum of three years business experience. Experience in a legal and/or regulatory support role preferred.
Working knowledge of Vanguard client and participant record keeping systems (VAST, VISTA, AWD, etc.) and a general understanding of Vanguard's business preferred.
Excellent organizational, communication and analytical skills and ability to work independently.
Demonstrated strong communication, negotiation, critical thinking, creative problem solving, and advising skills.
Strong attention to detail.
Ability to manage multiple priorities in a deadline-oriented, fast paced and rapidly changing environment.
Ability to work independently, think critically, meet deadlines, and remain flexible in a multitask environment.
Desire and ability to work as part of a high-performing team.
Ability to work with all levels of Vanguard crew and management.
Strong preference for candidate with deep knowledge in litigation, legal process, and legal concepts.
Intermittent local travel required.
Vanguard is not offering visa sponsorship for this position.
We are Vanguard. Together, we're changing the way the world invests.
For us, investing doesn't just end in value. It starts with values. Because when you invest with courage, when you invest with clarity, and when you invest with care, you can get so much more in return. We invest with purpose - and that's how we've become a global market leader. Here, we grow by doing the right thing for the people we serve. And so can you.
We want to make success accessible to everyone. This is our opportunity. Let's make it count.
Vanguard's continued commitment to diversity and inclusion is firmly rooted in our culture. Every decision we make to best serve our clients, crew (internally employees are referred to as crew), and communities is guided by one simple statement: "Do the right thing."
We believe that a critical aspect of doing the right thing requires building diverse, inclusive, and highly effective teams of individuals who are as unique as the clients they serve. We empower our crew to contribute their distinct strengths to achieving Vanguard's core purpose through our values.
When all crew members feel valued and included, our ability to collaborate and innovate is amplified, and we are united in delivering on Vanguard's core purpose.
Our core purpose: To take a stand for all investors, to treat them fairly, and to give them the best chance for investment success.