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, variable insurance products, and federally registered investment advisers. IM's Disclosure Review and Accounting Office is seeking to fill one Supervisory Attorney-Adviser (Branch Chief) position in Washington, DC or in the following regional offices: BRO, NYRO, CHRO, DRO, LARO.

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. As a Branch Chief, duties will include: Supervising the review of filings submitted by investment companies to register the companies and their shares, interests in certain insurance contracts registered as securities, annual updates to registration statements, proxy provisions. In doing so, provide companies with written and oral comments on the filings to ensure that the filings comply with applicable securities laws. This includes analyzing and reviewing investment company filings submitted pursuant to the provisions of the Investment Company Act, Securities Act and Exchange Act. This includes analyzing and reviewing investment company and certain insurance contract filings submitted pursuant to the provisions of the Investment Company Act, Securities Act and Exchange Act. Carrying out supervisory duties, such as performance management, training, awards, and recruitment; workload management; keeping employees motivated; promoting employee professional development; and keeping employees informed regarding the policies, procedures, and goals of the Commission as they relate to their work on assigned projects. Assisting other offices and Divisions in resolving disclosure-related issues under the Investment Company Act. Keeping cognizant of current developments and industry trends as they affect the asset management industry and, in particular, registered funds. Recommending and participating in projects based on these trends. Present at meetings with senior SEC officials, outside parties, and other stakeholders. Thinking strategically about the Division's process for reviewing filing and how to maximize the efficiency of that process. Preparing responses to correspondence, filings, and other inquiries with the Division.

Requirements

• CITIZENSHIP: You must be a US Citizen.
• You must possess a J.D. or LL.B Degree and You must be an active member of the bar in good standing.
• This position is open to current, permanent Division of Investment Management employees only.
• 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-15.
• 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 not in the collective bargaining unit.
• This position is eligible to request telework in accordance with the SEC 's telework policy.

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-15: Applicant must have one year of specialized experience equivalent to the GS/SK-13 level. Specialized experience includes identifying legal issues, conducting legal research, providing legal analyses, providing legal solutions/recommendations, and preparing legal documents, such as contracts, dispositions, pleadings, and motions, and also includes at least one year: Providing legal advice; Responding to complex and difficult questions; Researching and providing legal interpretation of statutes, and implementing regulations; Developing and preparing guidance on a variety of complex legal issues, interpretation and application of statues; Leading projects or teams responsible for analyzing and reviewing investment company filings; and Interpreting and applying the provisions and providing sound advice regarding the federal securities laws (for example, the Investment Company Act, the Investment Advisers Act, the Securities Act and/or the Exchange Act).

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]