Summary The Division of Investment Management (IM) is seeking skilled attorneys with a great attention to detail to join the Chief Counsel's Office (CCO) and the Disclosure Review and Accounting Office (DRAO). These positions involve providing sound legal analysis and guidance on matters affecting investment companies and investment advisers, reviewing complex filings and regulatory submissions, and supporting policy and rulemaking initiatives. Responsibilities To provide transparency for applicants, duties are grouped by office. Applicants may indicate interest in CCO, DRAO, or both during the application process. Chief Counsel's Office (CCO) Provide formal and informal guidance to internal and external stakeholders on the Investment Company Act, the Investment Advisers Act, and related securities laws, including reviewing and evaluating no-action and interpretive requests. Review and analyze applications for exemptive relief under the Investment Company Act and the Investment Advisers Act. Collaborate with staff across EXAMS, Enforcement, and other SEC divisions on matters involving potential violations and other issues arising under the federal securities laws. Contribute to rulemaking, guidance, legislative, and policy initiatives related to investment companies, investment advisers, business development companies, and private funds. Disclosure Review and Accounting Office (DRAO) Review, analyze, and provide comments on investment company, business development company, and insurance company filings-including registration statements, merger materials, proxy filings, tender offers, and other submissions-to ensure compliance with disclosure and regulatory requirements. Provide formal and informal guidance on disclosure-related issues arising under the Investment Company Act, Investment Advisers Act, and other applicable laws. Shared Responsibilities (CCO & DRAO) Collaborate with colleagues across the Division and the Commission on cross-cutting issues affecting investment companies and investment advisers. Support senior leadership by preparing speeches, presentations, and other public-facing materials related to regulatory developments, policy initiatives, and Division priorities. 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-14: Applicant must have three (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 memoranda, and disclosure documents two (2) years of which includes: providing advice on issues and policies related to Federal securities laws, statutes, rules and regulations; AND conducting in-depth reviews and analyses of matters to ensure the legal adequacy, sufficiency, and soundness of recommended or taken actions; AND identifying legal risks, evaluating alternative approaches, and developing well-supported recommendations that inform decision-makers; AND coordinating with stakeholders to resolve legal questions and ensure consistent application of Federal securities law requirements 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 your courses, grades, semester, year, and credit for the course. If you are qualifying for this position by substituting education or training for experience, you must submit a copy of your unofficial transcripts or equivalent by the closing date of the announcement. Internal Applicants: OHR will verify education qualifications for internal applicants using documents in the Electronic Official Personnel Folder (eOPF). If required transcripts or certificates are not present in your eOPF, you will be required to provide them to OHR. If selected, a start date will not be established until official transcripts are received. 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. For more information, click here. Applicants may also find the following helpful: National Association of Credential Evaluation Services (NACES) is an association of 19 credential evaluation services with admission standards and an enforced code of good practice. Association of International Credentials Evaluators (AICE) is an association of 10 credential evaluation services with a board of advisors and an enforced code of ethics 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.
