Job Description
Agency: U.S. Securities and Exchange Commission
Position: Attorney-Adviser
Location: Boston, MA; Chicago, IL; Denver, CO; Los Angeles, CA; New York, NY; Philadelphia, PA; San Francisco, CA; Washington, DC
Salary: $129,627 - $246,926 per year
Open & Close Dates: 03/14/2023 to 03/27/2023
Job Link: https://www.usajobs.gov/job/712608700#
Summary:
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 multiple attorney-adviser positions.
Conditions of Employment:
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.
Typical duties include:
- 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.
Candidates should possess a strong securities law background. Investment company, business development company and insurance products experience preferred. These positions are located in Washington, D.C., and the following regional offices: NYRO, BRO, PLRO, DRO, SFRO, CHRO, and LARO.
Qualifications
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: Applicant must have 3 years 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, 2 years of which includes:
- 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:
Official transcripts will be required at the time of appointment to verify 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
Additional Information:
SEC Compensation Program: The overall salary range listed above is provided for informational purposes as it represents the full range that is applicable to current employees in this occupation/grade; however, a selectee's initial pay is always set below the maximum rate of the range. Please click here for additional information.
Reasonable Accommodation: If you are an applicant who needs a reasonable accommodation for disability to participate in the application process at the SEC, submit the form for Reasonable Accommodation for Participation in Job Application Process here. Please be sure to submit your request at least 5 business days in advance of the date you need the requested accommodation.
Equal Employment Opportunity (EEO) Information for SEC Job Applicants: Federal EEO laws protect all applicants from discrimination on the following bases: race, color, sex (not limited to conduct which is sexual in nature, includes pregnancy, gender identity, sexual orientation, transgender status), age (40 and over), religion, national origin, disability, genetic information, retaliation for participating in the EEO process or opposing discrimination. Applicants who believe they have been discriminated against on any EEO basis can seek recourse through the SEC's administrative complaints process. To be timely, an individual must enter the EEO process within 45 days from when they know (or should have known) of the alleged discrimination. Click here for additional information.
TTY/ASCII: Video Relay Service users are welcome to contact the appropriate SEC office or employee via the contact information listed above. If you do not otherwise have access to a Video Phone or Video Relay service, you may send us an email or use the Federal Video Relay Service via the internet. For more information about using the Federal Relay Service and to create a new account, please see: https://www.federalrelay.us/
Additional guidance and application instructions can be found here: https://www.usajobs.gov/job/712608700#
The mission of the SEC is to protect investors; maintain fair, orderly and efficient markets' and facilitate capital formation. The SEC strives to promote a market environment that is worthy of the public's trust.
Applying to the Division of Enforcement
Practicing Attorneys and Accountants
Attorneys entering the Division typically have two to five years of post J.D. work experience as a practicing attorney, one year of which includes analyzing complex legal and/or factual issues, or conducting significant investigations or litigation. Attorneys also typically have knowledge of federal securities laws, though it is not required.
If you are an attorney, and would like to seek Direct Hire consideration with the Division in our Washington, DC office, please submit your resume to HO-ENF-Hiring@sec.gov. To apply to one or more of our Regional Offices, please submit your application materials to each office directly. You can also identify current Division announcements by searching USAJOBS.