Vanguard in the news.. …..

Joe DiStefano says  in the opening sentences, ‘Who knew that a mutual fund company, like a political campaign, is seeking to hire lawyers to do opposition research, searching for questionable activity by rivals, in hopes of using it against them? Vanguard did just that. Click here to read the full article, Vanguard’s novel want ad sought lawyer to dig up dirt on its rivals’, Joe DiStefano, June 7, 2017

another ad for a Vanguard position in Arizona , among other human-relations duties, the company seeks applicants willing to “support the involuntary termination process for crew members,” and to “recommend and conduct termination as needed.” “Crew members” are what Vanguard calls its 15,000 employees.’


Posting that was removed:

Associate Counsel, Marketing

Malvern, PA, US

June 5, 2017

Keep Me In Mind

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Vanguard is a leading provider of financial products and services to individual and institutional investors worldwide. In addition, Vanguard is an employer of choice that continually invests in the growth, development and success of its employees over the course of their Vanguard careers. Known for its strong ethical business practices and client focus, Vanguard fosters a collaborative, team-oriented environment that rewards and recognizes its attorneys for providing business-focused legal solutions, with a strong emphasis on excellent client service and relationship management skills. Vanguard is seeking an attorney to partner with the business and Compliance to provide legal advice on all aspects of marketing and brand management issues.

Specific Responsibilities:

  • Provide thought leadership on all marketing, advertising and brand management issues.
  • Advise the business on the creation of a holistic brand management strategy and a marketing rules-based framework.
  • Coordinate with PR on brand management issues and assist with positioning of content.
  • Serve as a legal resource for our Advertising Compliance Group.
  • Create guidelines to differentiate between marketing and servicing communications, and create appropriate processes to evaluate these different materials.
  • Provide legal advice on all aspects of Vanguard’s use of social media.
  • Advise on marketing campaigns at their inception to ensure campaigns are consistent with all relevant laws, including FINRA marketing regulations.
  • Provide legal advice with respect to FINRA inquiries on Vanguard marketing materials.
  • Review competitors’ campaigns for possible FINRA violations; advise the business on whether to raise matters with FINRA.
  • Draft regulatory comment letters related to FINRA advertising rules.

Qualifications and Experience:

  • Minimum 5-10 years of relevant professional experience; excellent undergraduate and law school academic credentials
  • In-house experience required, preferably in a global organization
  • Demonstrated ability to influence business leaders and impact decision-making
  • Demonstrated track record of providing business-focused solutions that combine excellent judgment, creativity, risk-taking, and technical expertise
  • Demonstrated expertise in the use of data and digital market trends
  • Shares Vanguard’s values, including unmatched ethical standards, teamwork, client service, work ethic and positive attitude

Vanguard is not offering visa sponsorship for this position


And here is the other posting:

Specialist, Crew Relations and Compliance

Scottsdale, AZ, US

June 6, 2017

To provide timely and objective advice and counsel to Vanguard crew throughout their lifecycle with the organization, and to mitigate risk through the effective resolution of crew-related issues.Duties and Responsibilities

  • Provide site, division, or case-based insights to Crew Relations & Compliance CoE leadership to assist with design of strategies, frameworks, policies, and processes.
  • Support the involuntary termination process for crew members.
  • Support consistent policy interpretation and application of HR policies globally. Identify divisional or regional nuances in addressing crew-related issues and suggest potential process improvements to address these nuances while maintaining compliance with local regulations.
  • Work with managers and crew as needed to understand, monitor, and resolve crew complaints and conduct investigations as needed. Partner with Crew Relations & Compliance Leads and HR Policy & Risk Management Lead to address sensitive matters as needed while mitigating risk.
  • Provide objective coaching and counseling services to managers and crew. Clearly guide managers through the appropriate steps to be taken for corrective action due to crew disciplinary or performance issues. Recommend and conduct termination as needed.
  • Recommend appropriate programs for specific crew situations. Identify and highlight benefit programs provided by the Total Rewards CoE with the highest impact to crew due to utilization and/or perceived value. Suggest ways to optimize program value.
  • Partner with Crew Relations & Compliance Leads, HRBPs, and Talent Management CoE to lead and/or facilitate performance differentiation sessions in the business. Assist with fostering broad dialogue across the talent spectrum during differentiation sessions and identifying key performance-related trends. Provide guidance to managers in addressing performance-related issues.
  • Conduct in-person exit interviews for voluntary departures. Partner with Crew Central to efficiently process voluntary departures. Provide criteria for exit interview analysis and assist in analyzing exit interview data to mitigate risk and identify trends.
  • Provide leaders in the business with consultative support throughout the progressive investigation process by facilitating the process for either a disciplinary or performance-related issue. Provide dedicated support to both crew and leaders as needed.
  • Support educational initiatives for HR crew on internal and external compliance requirements and related process controls.
  • Conduct new manager assimilations as appropriate.
  • Facilitate the unemployment process as needed. Represent Vanguard at hearings as needed.
  • Assess, monitor, and manage crew trends for book of business.
  • Partner with other service organizations regarding crew matters as appropriate including Fraud, Information Security, Physical Security, Compliance, Audit, etc.
  • Participates in special projects and performs other duties as assigned.


  • Undergraduate degree in related field or equivalent combination of training and experience. Masters Degree and or HR professional certifications preferred.
  • A minimum of three to five years previous employee relations experience.
  • Employee relations and/or compliance experience preferred
  • Ability to remain poised and professional under potentially contentious situations
  • Sensitivity in working with confidential information
  • Proven teamwork capabilities
  • Strong oral and written communication skills
  • Excellent project management skills, including planning and organizational skills
  • Attentive to details and deadlines; ability to manage multiple initiatives
  • Ability to effectively work independently and identify when to engage others

Additional information: 

  • This position will report to Ruby Gilchrist.
  • Vanguard is not offering visa sponsorship for this position.