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This Position Is No Longer Available

Job Title:  Attorney Adviser
Agency:  Securities and Exchange Commission
Job Announcement Number:  13-EX-879657-BS

This position is closed and no longer accepting online applications through USAJOBS.

The contents of the announcement can still be viewed.
$96,590.00 to $185,027.00 / Per Year
Monday, April 29, 2013 to Monday, July 29, 2013
Full Time - Excepted Service Permanent
Few vacancies in the following location:
Washington DC, DC United StatesView Map
US Citizens and Non Citizens


Do you want to perform challenging work in a collegial environment, while enjoying quality of life and a competitive compensation package? Invest in your career at the U.S. Securities and Exchange Commission (SEC)!


`The Securities and Exchange Commission's mission is to protect investors, maintain fair, orderly, and efficient markets, and facilitate capital formation. The agency seeks high-caliber employees who share the same values of integrity, fairness, accountability, resourcefulness, teamwork, and commitment to excellence.

The SEC offers a number of enhanced pay and benefits plus the standard Federal benefits: paid dental insurance and vision insurance and increased agency subsidy for health insurance which supplements your health benefits premiums by $25 for self-only coverage, and $50 for family coverage.


To find out more, go to


Few vacancies are located in the following offices in the Division of Investment Management located in Washington, DC: Investment Adviser Regulation Office, Investment Company Rulemaking Office, Office of Chief Counsel, and Insured Investments Office.


Salary Ranges: SK-13: $96,590 - $161,141

                     SK-14: $110,910 - $185,027


**This posting has cut-off periods.  Qualified applicants will be forwarded to the hiring committee every two weeks, the first of which will occur on May 13, 2013.

Proof of Bar membership must be submitted at the time of interview.




  • This position is open to all U.S. citizens and persons lawfully admitted
  • for permanent residence and seeking citizenship as outlined in
  • 8 U.S.C. 1324b(a)(3)(B).


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The Division of Investment Management works to protect investors, promote informed investment decisions, and facilitate appropriate innovation in investment products and services, through regulating the asset management industry. The Division administers the Investment Company Act of 1940 ("Investment Company Act"), the Investment Advisers Act of 1940 ("Investment Advisers Act"), the Securities Act of 1933 ("Securities Act") and the Securities Exchange Act of 1934 ("Exchange Act"). In applying these federal securities laws to the industry, the Division works to improve disclosure to investors without imposing undue costs on regulated entities.

As an attorney-adviser in the Division of Investment Management, your work assignments may include any of the following tasks:

·  Provide legal and interpretive guidance on the Investment Company Act and the Investment Advisers Act matters:

·  Prepare recommendations for rulemakings under the Investment Company Act or Investment Advisers Act (including rules that may apply to advisers of private funds).

 · Review and assess requests for no-action letters and interpretive letters to be issued by the staff of the Division under the Investment Company Act and/or the Investment Advisers Act;

·  Provide assistance to the Division of Corporation Finance in the review of pending registration statements under the Securities Act (e.g., to identify potential Investment Company Act and Investment Advisers Act status concerns);

·  Research, analyze and develop rule text to implement regulatory initiatives;

·  Draft substantive legal documents including draft releases explaining proposed and final rule making initiatives, federal register notices and memoranda;

·  Review and analyze proposals for exemptions and recommend appropriate terms and conditions for exemptions under the Investment Advisers Act;

·  Examine and analyze registration statements, proxy materials and other filings from the standpoint of full disclosure, compliance and other legal sufficiency;



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All qualification requirements must be met by the closing date of this announcement. Qualifying experience may be obtained in the private or public sectors. Qualifying education must have been obtained from an accredited college or university recognized by the Department of Education. Additional information on the qualification requirements is outlined in the OPM Qualifications Standards Handbook of General Schedule Positions. It is available for your review in our office, in other Federal agency personnel offices, and on OPM's web site at


Applicants must possess a J.D. or LL.B degree and be an active member of the bar in good standing in any state, territory of the United States, the District of Columbia, or the commonwealth of Puerto Rico.  Proof of Bar membership must be submitted at the time of interview.


Minimum Qualifications:

Grade 13: Applicants must have two (2) years post J.D. experience as a practicing attorney, one (1) year providing advice on issues and policies related to the Federal securities laws, statutes, rules and regulations, particularly those related to the Investment Company Act, the Investment Advisers Act, the Securities Act and/or the Securities Exchange Act. Experience must include conducting legal research and analysis.  

Grade 14: Applicants must have three (3) years post J.D. experience as a practicing attorney, two (2) years providing advice on issues and policies related to the Federal securities laws, statutes, rules and regulations, particularly those related to the Investment Company Act, the Investment Advisers Act, the Securities Act and/or the Securities Exchange Act.  Experience must include conducting reviews and analysis of the most complex issues to assure legal adequacy, sufficiency, and soundness of action recommended or taken.


Knowledge, Skills and Abilities: Your resume will be evaluated on the listed KSAs in the occupational questionnaire for this announcement.  

  • Knowledge of the federal securities laws administered by the Commission and the rules and regulations thereunder and experience with the operations and regulation of investment companies and investment advisers.
  • Ability to communicate other than in writing.
  • Ability to communicate in writing.

  • Important Notes:

    1. Application procedures are specific to this vacancy announcement. Please read all the instructions carefully. Failure to follow the instructions may result in your not being considered for this position.

    2. Male applicants born after December 31, 1959, must have registered for the selective service.  For more information, visit
    3. Supplementary vacancies may be filled in addition to the number stated in this announcement.

    4. This position has promotion potential to the SK-14.

    5. PROBATIONARY PERIOD: This appointment may require completion of a two-year probationary period.

    6. 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.

    7. PERMANENT CHANGE OF STATION (PCS): Moving/Relocation expenses are not authorized.

    8. DIRECT DEPOSIT: All Federal employees are required to have Federal salary payments made by direct deposit to a financial institution of their choosing.

    9. This position is in the bargaining unit.

    Information for veterans:  You may be eligible to receive preference in appointment.  For more information please visit:


    BASIS OF RATING: All applicants who meet the basic qualification requirements will be forwarded for consideration.

    Once the announcement closes, your application will be automatically evaluated by the system and a Human Resources Specialist. To determine if you are qualified for this job, a review of your application and supporting documentation will be made and compared against your responses to the occupational questionnaire. Please follow all instructions carefully. Errors or omissions may affect your eligibility.


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    The Federal Government offers a comprehensive benefits package.   Explore the major benefits offered to most Federal employees at


    The SEC welcomes applications from qualified individuals with disabilities. 

    If you may be eligible for non-competitive hiring under Schedule A because you have a severe disability, please send an email to  Include the vacancy number for the position you are inquiring about in the subject line.  Provide a brief description of your qualifications in the email and the status of your application.  Do not attach files to your email. 

    For information about Schedule A hiring in the federal government under the authority in 5 Code of Federal Regulations section 213.3102(u) see


    Any applicant who needs a reasonable accommodation for disability to participate in the application process should send the request to  Subject line of email must be: Applicant Accommodation Request.  Send the Applicant Accommodation Request at least 5 business days in advance of the date you will need the accommodation. 


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    To be considered for this position, you must submit a complete Application Package.

    All materials must be received by 11:59 p.m. EST, Monday, July 29, 2013.

    Please follow the instructions listed below for submitting the Occupational Questionnaire, Résumé, and Required Documents. Please read all instructions before you begin. You are solely responsible for the delivery of your materials. We cannot be responsible for incompatible software, illegible fax transmissions, etc.

    To begin the process, click the Apply Online button at the bottom of this screen to create an account or log in to your existing USAJOBS account. Follow the prompts to complete the occupational questionnaire. Please ensure you click the Submit My Answers button at the end of the process.

    Note: To return to a previously Saved or Incomplete application you may use the following link:

    To fax supporting documents you are unable to upload, complete this cover page using the following Vacancy ID 879657.  Fax your documents to 1-478-757-3144.

    If you cannot apply online:

    1. Click the following link to view and print the occupational questionnaire View Occupational Questionnaire, and

    2. Print this 1203FX form to provide your response to the occupational questionnaire and

    3. Fax the completed 1203FX form along with any supporting documents to 1-478-757-3144. Your 1203FX will serve as a cover page for your fax transmission.



    For this job announcement the following documents are required:


    1. Occupational Questionnaire

    2. Résumé: Must contain a detailed description of your duties, the date you performed them (MM/YY) and your work schedule.

    3. Proof of Bar membership must be submitted at the time of interview.


    -For Veterans: DD-214-For Disabled Veterans: DD-214, SF-15 and VA letter dated 1991 or later




    Buddy E. Smallwood
    Phone: (202)551-7442
    Agency Information:
    Securities and Exchange Commission
    100 F Street NE
    Washington , DC


    After a review of your résumé, required documents and assessment questionnaire is complete, you will be notified of your referral to the hiring official. If further evaluation or interviews are required you will be contacted.

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