Summary The Division of Investment Management (IM) Rulemaking Office is seeking a Supervisory Attorney-Adviser (Assistant Director) position in the Investment Adviser Regulation Office in Washington, DC. As an Assistant Director, you will lead a staff of dynamic attorneys that are responsible for evaluating the operation of the Investment Advisers Act and the Commission rules. Responsibilities Typical Duties Include: Reviewing the laws and rules that regulate investment advisers and investment companies to determine whether to recommend the Commission revise or adopt certain rules or amendments; developing recommendations to the Commission for rules that codify certain repetitive administrative actions such as exemptive orders or interpretive positions; and drafting proposed rules, regulations, and amendments. Managing and overseeing rulemaking projects, from the initial, formative stages through the Commission's consideration and issuance of proposing and adopting releases; and applying the Administrative Procedures Act. Writing and reviewing the work of other staff in drafting work product, including recommended Commission rulemakings, staff guidance, and other written materials. Representing the Commission in various matters and advising other Commission programs related to the regulation of investment advisers, such as enforcement and examination matters, and disclosure of information by registrants. Carrying out supervisory duties, such as performance management, training, awards, and recruitment; keeping employees informed regarding the policies, procedures, and goals of the Commission as they relate to their work on assigned projects. Communicating with the Division's Director, Associate Directors, and with others inside and outside the Division and Commission, about progress and developments in rulemaking matters. Requirements Conditions of Employment 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. Applicants are responsible for confirming all required materials are submitted by the deadline. Please check the 'How You Will Be Evaluated' and 'Required Documents' sections carefully, as missing documents will render the application incomplete and ineligible for review. 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-17: Applicant must have at least four (4) years of post J.D. work experience identifying legal issues, providing legal analyses, providing legal solutions/recommendations, and preparing legal documents, such as contracts, dispositions, pleadings, and motions, which also included at least three (3) years: Providing legal advice and interpretations of statutes and regulations and their implementation; AND Interpreting the provisions of the Investment Advisers Act or Investment Company Act, as well as the federal securities laws; AND Applying the provisions of the Investment Advisers Act or Investment Company Act, as well as the federal securities laws Education ARE YOU USING YOUR EDUCATION TO QUALIFY? You MUST provide transcripts or other documentation to support your educational claims. Unless otherwise stated: (1) official or unofficial transcripts are acceptable, or (2) you may submit a list with all of your courses, grades, semester, year, and credit for the course. All materials must be submitted by the closing date of the announcement. If you are qualifying for this position by substituting education or training for experience, submit a copy of your unofficial transcripts or equivalent. An official transcript will be required if you are selected. 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. Disability Employment: For information on disability appointments, please visit http://www.opm.gov/policy-data-oversight/disability-employment/ Reasonable Accommodation: If you are an applicant who needs a reasonable accommodation to participate in the SEC application process due to a medical disability, please contact reasonableaccommodation@sec.gov. For religious-based accommodations, please contact religiousaccommodation@sec.gov . 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, religion, sex, pregnancy, national origin, political affiliation, sexual orientation, marital status, disability, genetic information, age, membership in an employee organization, retaliation, parental status, military service or other non-merit factor. 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. The Fair Chance Act prohibits specific inquiries concerning an applicant's criminal or credit background unless the hiring agency has made a conditional offer of employment to the applicant. An applicant may submit a complaint, or any other information, to the agency within 30 calendar days of the date of alleged non-compliance by contacting the Legal and Policy Office in the Office of Human Resources at ElliottT@sec.gov.
