Jon Hadfield Email & Phone Number

Philadelphia, Pa, Us

Malvern, Pennsylvania, United States

CCO for Vanguard Global Advisers, LLC and Head of Fund and Adviser Compliance for Vanguard. Responsible for all day-to-day aspects of administering compliance programs for Vanguard’s U.S. mutual funds and ETFs, as well as for Vanguard’s adviser to certain non-U.S. funds, ETFs, and investment vehicles.Leads and manages a diverse team of compliance professionals who implement fund and adviser compliance programs. Responsible for providing guidance to and support for investment management teams, policies & procedures, regulatory engagements, filings, board materials/reporting, third-party adviser oversight, investment limitations monitoring, and partnering with Risk and Audit to advance business client goals.

Malvern, Pa

Responsible for providing guidance to all Vanguard business lines on global distribution matters related to Vanguard’s U.S. mutual funds and ETFs. • Counsel for distribution business strategy on intermediary relationships

San Antonio, Texas Area

Managing securities attorney for the securities division of USAA’s Financial Advice and Solutions Group (consisting of 30 professionals). Responsible for legal support of USAA’s Investments companies (mutual funds, ETFs, brokerage, 529s, advisory) and Financial Advice digital platforms, including all legal and regulatory aspects of USAA’s securities laws matters. Manage relationship with independent mutual fund board of directors, SEC, and FINRA. Provide important link between fully matrixed financial services enterprise to specific investments and securities line of business.• Lead securities counsel for divisional President leading businesses with $2B in revenue and over $280B in assets under management/control• Secretary for USAA Mutual Fund board• Lead counsel for USAA’s divestment of fund, brokerage, and advice businesses, including $850M sale of USAA’s mutual fund and 529 businesses

San Antonio, Texas

Primary attorney supporting investment advisory services, including digital advice; co-lead on broker-dealer services. Provide advice and guidance on all matters relating to USAA’s investments businesses, including product development, innovation, regulatory inquires and interactions, operations and financial matters. • Advise on the USAA's distribution of investment products, including brokerage, investment advisory, and mutual funds • Strategic level counsel to senior executive management while developing a coordinated and consistent approach to securities legal and regulatory matters • Represent USAA in matters involving the SEC, FINRA, the Fed, and certain other federal and state regulators

Washington D.C. Metro Area

Counsel U.S. and non-U.S. financial institutions, including investment advisers, broker- dealers, private funds, and banks on the application of federal securities laws and the rules of various self- regulatory organizations. Advise on registration, compliance, reporting, and disclosure matters arising from investment advisory and broker-dealer businesses. Counsel clients on regulator investigations and on related self-reporting.

Washington D.C. Metro Area

Counsel on matters arising under federal and state securities laws as they pertain to investment advisers, broker-dealers, and insurance company registered and unregistered products. Advise on registration, issuance, reporting, disclosure, and enforcement matters, and on compliance issues arising from the distribution of investment products.

Washington D.C. Metro Area

Washington D.C. Metro Area

Baltimore, Maryland Area

Baltimore, Maryland Area

Master Of Laws (Ll.M.), Securities And Financial Regulation

Doctor Of Law (Jd), Business Law Concentration

Bachelor Of Arts (B.A.), With Honors, English-- Emphasis In Writing