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    Duties

    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.

    The Division of Investment Management's Rulemaking Office, Investment Adviser Regulation Office is seeking to fill two Attorney-Adviser positions in Washington, DC.

    Learn more about this agency

    Responsibilities

    • Prepare recommendations for rulemaking under the Investment Company Act of 1940 and the Investment Advisers Act of 1940;
    • Research, analyze, and develop rule text to implement regulatory initiatives;
    • Draft substantive legal documents including draft releases explaining proposed and final rulemaking initiatives, federal register notices, and memoranda;
    • Consult and coordinate with staff across the Division and Commission, and public and industry representatives, regarding regulatory policy;
    • Analyze legislation and its potential impact on the regulation of investment advisers and investment companies;
    • Provide interpretive guidance to other offices within the Division and to other divisions and offices at the Commission (including Regional Offices) on Investment Company Act and Investment Advisers Act matters;
    • Respond to public inquiries; and
    • Assist Investment Management senior staff with the preparation of speeches and public presentations.

    Travel Required

    Not required

    Supervisory status

    No

    Promotion Potential

    14

  • Job family (Series)

    0905 Attorney

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    Requirements

    Conditions Of Employment

    • 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.

    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-13: Applicant must have two (2) year(s) of post J.D. work experience as a practicing attorney, 1 year(s) of which includes: providing legal interpretation of Federal securities laws, statutes, rules and regulations.
    • SK-14: Applicant must have three (3) years of post J.D. work experience as a practicing attorney, two (2) years of which includes: providing advice on issues and policies related to Federal securities laws, statutes, rules and regulations. Experience must include conducting reviews and analysis of the most complex 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

    Additional information

    Disability Employment: For information on disability appointments, please visit http://www.opm.gov/policy-data-oversight/disability-employment/

    IMPORTANT INFORMATION FOR SURPLUS OR DISPLACED FEDERAL EMPLOYEES: Career Transition Assistance Plan (CTAP) is available to individuals who have special priority selection rights under this plan. Individuals must be minimally qualified for this position to receive consideration for special priority selection. CTAP eligibles will be considered minimally qualified if they meet the minimum requirements for this position.

    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/

    SEC COMPENSATION PROGRAM: For questions regarding SEC pay setting practices, please click here.

    How You Will Be Evaluated

    If you meet the minimum qualifications stated in the vacancy announcement, we will compare your resume and supporting documentation to your responses on the occupational questionnaire. Your resume must support your responses to the occupational questionnaire. After review of your application materials, if you are determined to be minimally qualified, you will be referred to the selecting official.

    Applicants will be evaluated on the following competencies:
    Legal, Government and Jurisprudence, Oral Communication, Technical Competence, and Written Communication

    The Occupational Questionnaire will take you approximately 10 minutes to complete. To preview the Occupational Questionnaire, click the following linkhttps://apply.usastaffing.gov/ViewQuestionnaire/11010436

    Background checks and security clearance

    Security clearance

    Other

    Drug test required

    No

    Position sensitivity and risk

    High Risk (HR)

    Trust determination process

    Suitability/Fitness

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    Required Documents

    You must provide a complete Application Package, which includes:

    • Required: Your responses to the Occupational Questionnaire.
    • Required: Your complete and comprehensive resume that includes a complete history of your work experience and the applicable employment dates with months and years. To determine if you qualify for this position, OHR will review your work history that is relevant to the specific position for which you applied. If you are an external candidate selected for this position, OHR will review your complete work history to establish your starting salary. If you are a current SEC employee selected for this position, the standard percentage increases will be applied (i.e., 6% for non-supervisory positions) if your selection results in a promotion. If your selection results in lateral movement (i.e. no change in grade) you will maintain your current salary. Note: Your resume must directly address the definition of specialized experience listed in the qualification section of this announcement and must NOT contain pictures. For external candidates: Information on how your resume will be used for pay setting purposes can be found here.
    • Required, if applicable: Veteran's documentation (DD-214, member 4 copy or other documentation containing dates of service and character of discharge.)
    • Required, if applicable: CTAP documentation (a copy of a separation notice or other proof of eligibility for priority selection; a copy of an SF-50, Notification of Personnel Action, showing current position, grade, promotion potential, and duty location; AND a copy of your most recent performance appraisal.)

    If you are relying on your education to meet qualification requirements:

    Education must be accredited by an accrediting institution recognized by the U.S. Department of Education in order for it to be credited towards qualifications. Therefore, provide only the attendance and/or degrees from schools accredited by accrediting institutions recognized by the U.S. Department of Education.

    Failure to provide all of the required information as stated in this vacancy announcement may result in an ineligible rating or may affect the overall rating.

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    Benefits

    A career with the U.S. Government provides employees with a comprehensive benefits package. As a federal employee, you and your family will have access to a range of benefits that are designed to make your federal career very rewarding.

    https://help.usajobs.gov/index.php/Pay_and_Benefits

    Eligibility for benefits depends on the type of position you hold and whether your position is full-time, part-time, or intermittent. Contact the hiring agency for more information on the specific benefits offered.

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    How to Apply

    To apply for this position, you must complete the online application and submit the documentation specified in the Required Documents section below.

    A complete application package must be submitted by 11:59 PM (EST) on the closing date of the announcement to receive consideration.

    • To begin, click Apply to access the online application. You will need to be logged into your USAJOBS account to apply. If you do not have a USAJOBS account, you will need to create one before beginning the application.
    • Follow the prompts to select your résumé and/or other supporting documents to be included with your application package. You will have the opportunity to upload additional documents to include in your application before it is submitted. Your uploaded documents may take several hours to clear the virus scan process.
    • After acknowledging you have reviewed your application package, complete the Include Personal Information section as you deem appropriate and click to continue with the application process.
    • You will be taken to the online application which you must complete in order to apply for the position. Complete the online application, verify the required documentation is included with your application package, and submit the application.

    To verify the status of your application, log into your USAJOBS account (https://my.usajobs.gov/Account/Login), all of your applications will appear on the Welcome screen. The Application Status will appear along with the date your application was last updated. For information on what each Application Status means, visit: https://www.usajobs.gov/Help/how-to/application/status/.

    If you are unable to apply online or need to fax a document you do not have in electronic form, view the following link for information regarding an Alternate Application.

    Agency contact information

    ask HR

    Address

    Division of Investment Management
    100 F Street NE
    Washington, DC 20549
    US
    Learn more about this agency

    The U.S. Securities and Exchange Commission is looking for the best and brightest to join our team. Our mission includes advocating for investors who seek to secure a future for their family, providing guidance and regulations for the nation's securities industry in an increasingly global market, and taking action with an eye toward promoting the capital formation necessary to sustain economic growth.

    A career with the Securities and Exchange Commission (SEC) offers work that is exciting, challenging and rewarding. You can contribute to securities regulation and enforcement while making a positive difference for the American investing public. The SEC provides:

    • Careers that broaden and deepen your already accomplished knowledge, skills and abilities;
    • An environment that allows you to work and learn with the nation's experts;
    • Benefits, compensation and career expansion opportunities; and
    • A balance between your professional and family life.
    The SEC offers a number of enhanced pay and benefits plus the standard Federal benefits:
    • Paid dental and vision insurance;
    • Subsidy for health insurance, which supplements your health benefits premiums by $29.81 for self-only coverage, $55.69 for self plus one, and $59.61 for family coverage;
    • Domestic Partner Health Insurance Reimbursement Program;
    • Mass transportation subsidy;
    • "WorkSmart" - Opportunities for flexible work schedules and telework

    Visit our careers page

    Learn more about what it's like to work at Securities and Exchange Commission, what the agency does, and about the types of careers this agency offers.

    https://www.sec.gov./

    Next steps

    You will be notified of your application status through USAJOBS at four points during the hiring process, as applicable. You can check the status of your application by accessing the USAJOBS website at http://usajobs.gov/ and clicking on "Track Your Online Application."

    By submitting your application, you are certifying the accuracy of the information contained in your application. If you make a false statement in any part of your application, you may not be hired, you may be terminated after you begin work, or you may be fined or jailed. After making a tentative job offer, we will conduct a suitability/security background investigation. You will be required to submit official documentation before appointment. The agency will then verify the information provided on your application (i.e., degree, Veterans' Preference, certification of disability, etc.).

Fair & Transparent

The Federal hiring process is setup to be fair and transparent. Please read the following guidance.

Equal Employment Opportunity Policy

The United States Government does not discriminate in employment on the basis of race, color, religion, sex (including pregnancy And gender identity), 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.

Reasonable Accommodation Policy

Federal agencies must provide reasonable accommodation to applicants with disabilities where appropriate. Applicants requiring reasonable accommodation for any part of the application process should follow the instructions in the job opportunity announcement. For any part of the remaining hiring process, applicants should contact the hiring agency directly. Determinations on requests for reasonable accommodation will be made on a case-by-case basis.

A reasonable accommodation is any change to a job, the work environment, or the way things are usually done that enables an individual with a disability to apply for a job, perform job duties or receive equal access to job benefits.

Under the Rehabilitation Act of 1973, federal agencies must provide reasonable accommodations when:

  • An applicant with a disability needs an accommodation to have an equal opportunity to apply for a job.
  • An employee with a disability needs an accommodation to perform the essential job duties or to gain access to the workplace.
  • An employee with a disability needs an accommodation to receive equal access to benefits, such as details, training, and office-sponsored events.

You can request a reasonable accommodation at any time during the application or hiring process or while on the job. Requests are considered on a case-by-case basis.

Legal and regulatory guidance

This job originated on www.usajobs.gov. For the full announcement and to apply, visit www.usajobs.gov/GetJob/ViewDetails/589548900. Only resumes submitted according to the instructions on the job announcement listed at www.usajobs.gov will be considered.