The Division of Investment Management (IM) works to support the SEC in its mission to protect investors, maintain fair, orderly, and efficient markets, and facilitate capital formation. IM regulates investment companies, certain insurance products, and federally registered investment advisers. IM's Disclosure Review and Accounting Office (Disclosure Review Office #3, Branch 5) is seeking to fill one permanent Attorney-Adviser position.

Duties

At the Securities and Exchange Commission (SEC), we are committed to diversity, equity, inclusion and accessibility (DEIA) and value a workforce that reflects the diverse experiences and perspectives of the communities we serve. As such, we welcome applications from qualified individuals of all backgrounds who share our commitment to public service. Candidates should possess a strong securities law background. Investment company, business development company and insurance products experience preferred. The position is located in Washington, D.C., or the following regional offices: NYRO, BRO, PLRO, DRO, SFRO, CHRO, and LARO. Typical Duties: Reviewing, analyzing and providing comments on investment company, business development company, and insurance company registration statements, investment company merger documents, proxy materials, tender offers and other filings to help ensure full disclosure and compliance with applicable form and other regulatory requirements. Providing formal and informal guidance to internal and external stakeholders relating to issues under the Investment Company Act, the Investment Advisers Act, and other laws and regulations. Responding to public inquiries; provide legal and interpretive guidance on investigations and proposed enforcement actions, particularly with respect to the Investment Company Act and the Investment Advisers Act. Assisting Investment Management senior staff with the preparation of speeches and public presentations.

Requirements

• CITIZENSHIP: This position is open to US Citizens.
• You must possess a J.D. or LL.B Degree.
• You must be an active member of the bar in good standing.
• Application procedures are specific to this vacancy announcement. Please read all the instructions carefully. Failure to follow the instructions may result in you not being considered for this position.
• Supplementary vacancies may be filled in addition to the number stated in this announcement.
• This position has promotion potential to the SK-14.
• TRIAL PERIOD: This appointment may require completion of a two-year trial period.
• SECURITY CLEARANCE: Entrance on duty is contingent upon completion of a pre-employment security investigation. Favorable results on a Background Investigation may be a condition of employment or selection to another position.
• DRUG TESTING: This position may be subjected to drug testing requirements.
• PERMANENT CHANGE OF STATION (PCS): Moving/Relocation expenses are not authorized.
• DIRECT DEPOSIT: All Federal employees are required to have Federal salary payments made by direct deposit to a financial institution of their choosing.
• This position is in the collective bargaining unit.
• This position is eligible to request telework in accordance with the SEC 's telework policy.
• Existing Participants in the SEC?s Remote Telework Program are eligible to apply for this position. If selected, management will evaluate and communicate whether the position will allow for continued participation in Remote Telework.

Qualifications

All qualification requirements must be met by the closing date of this announcement. Qualifying experience may be obtained in the private or public sector. Experience refers to paid and unpaid experience, including volunteer work done through National Service programs (e.g., Peace Corps, AmeriCorps) and other organizations (e.g., professional; philanthropic; religious; spiritual; community, student, social). Volunteer work helps build critical competencies, knowledge, and skills and can provide valuable training and experience that translates directly to paid employment. You will receive credit for all qualifying experience, including volunteer experience. Qualifying education must have been obtained from an accredited college or university recognized by the U.S. Department of Education. BASIC REQUIREMENT: All applicants must possess the following J.D. or LL.B. degree --AND-- Active membership of the bar in good standing in any state, territory of the United States, the District of Columbia, or the commonwealth of Puerto Rico. (Note: proof of bar membership will be required before entry on duty. MINIMUM QUALIFICATION REQUIREMENT: In addition to meeting the basic requirement, applicants must also meet the minimum qualification requirement. SK-14: three year(s) of post J.D. work experience independently identifying legal issues, providing legal analyses, providing legal solutions/recommendations, and preparing legal documents such as contracts, dispositions, pleadings and motions, which also includes at least two year(s): Providing legal advice relating to the Federal securities laws, statutes, rules and regulations, for example, those related to Investment Company Act, Investment Advisers Act, Securities Act, and Securities Exchange Act; and Conducting reviews and analysis on issues to assure legal adequacy, sufficiency, soundness of action recommended or taken.

Education

FOREIGN EDUCATION: If you are using education completed in foreign colleges or universities to meet the qualification requirements, you must show the education credentials have been evaluated by a private organization that specializes in interpretation of foreign education programs and such education has been deemed equivalent to that gained in an accredited U.S. education program; or full credit has been given for the courses at a U.S. accredited college or university. For further information, visit: http://www.ed.gov/about/offices/list/ous/international/usnei/us/edlite-visitus-forrecog.html

Contacts

• Address Division of Investment Management 100 F Street NE Washington, DC 20549 US
• Name: ask HR
• Email: [email protected]