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This Position Is No Longer Available

Job Title:  Supervisory Attorney-Adviser (Assistant Director)
Agency:  Securities and Exchange Commission
Job Announcement Number:  13-EX-889163-BS

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

The contents of the announcement can still be viewed.
$134,262.00 to $223,974.00 / Per Year
Thursday, May 09, 2013 to Thursday, May 23, 2013
Full Time - Excepted Service Permanent
1 vacancy in the following location:
Washington DC Metro Area, DC United States
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 exceptional enhanced pay and benefits plus the standard Federal benefits!  Enjoy with SEC:


·        Up to $10,000 a year (60K cap) in student loan repayments for those who meet program criteria

·        Paid dental insurance and vision insurance

·        Increased agency subsidy for health insurance which supplements your health benefits premiums by $25 for self-only coverage, and $50 for family coverage

·        Mass transportation subsidy up to $245 per month

·        Telework Opportunities

·        Domestic Partner Health Insurance Reimbursement Program


To find out more, go to


This position is in the Division of Investment Management (Office of Chief Counsel/International Issues) located in Washington, DC.


The Division of Investment Management is responsible for the Commission's regulation of investment companies, investment advisers, and investment products issued by insurance companies.  The division carries on the SEC's regulatory and disclosure responsibilities with respect to the asset management industry under the Investment Company Act of 1940 (Investment Company Act) and Investment Advisers Act of 1940 (Investment Advisers Act), as well as the Securities Act of 1933 (Securities Act) and Securities Exchange Act of 1934 (Exchange Act).  The divison recommends rules to the Commission and implements rules adopted by the Commission.



  • 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 Chief Counsel's Office (Legal Guidance) is primarily responsible for issuing no-action and interpretive letters.  The office is also responsible for providing informal guidance on inquiries it receives (e.g., telephone and e-mail inquiries, review of registration statements for the Division of Corporation Finance) related to issues with respect to the Investment Company Act, the Investment Advisers Act, and other laws and regulations, such as the Exchange Act, Freedom of Information Act, and Department of Labor requirements for employee-benefit plans.  The office handles tips, complaints, and referrals and processes 13F confidential treatment requests.  The office also prepares Congressional testimony and assists in drafting proposed legislation and responds to Congressional inquiries related to investment companies and investment advisers.  In addition, the Chief Counsel's Office No.1 coordinates the division's work with international organizations and entities (e.g., IOSCO, foreign regulators). 


The incumbent will exercise day-to-day management and direct attorneys within the office on assigned projects.  Leading in all matters relating to assessing and meeting the needs of program, including defining requirements, setting expectations, collaborating with various parties, and implementing solutions/policy necessary to meet Commission and/or program mission, objectives, emerging issues, and future needs.  Setting priorities and managing expectations among competing goals and objectives and coordinates simultaneous work flows to ensure efficient contribution to Commission and/or program objectives.  Carrying out supervisory duties, such as performance management, training, awards, and recruitment.  The incumbent is also responsible for keeping employees informed regarding the policies, procedures, and goals of the Commission as they relate to their work on assigned projects.


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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


Basic Requirements: Applicant 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 Qualification Requirement: In addition to the Basic Requirements:


SK-17: Applicants must have at least four years post J.D. experience as a practicing attorney, three years of which include providing legal advice, responding to complex and difficult questions, researching and providing legal interpretation of statutes, and implementing regulations; developing and preparing guidance on a variety of complex legal issues arising from interpretation and application of statutes which have been referred because of the complexity or sensitivity of the topics involved, precedent-setting implications, short suspense time for response, deviation from established regulations, or other unusal actions; interpreting and applying the provisions and providing sound advice regarding the Investment Company Act of 1940 (Investment Company Act) and Investment Advisers Act of 1940 (Investment Advisers Act), as well as the Securities Act of 1933 (Securities Act) and Securities Exchange Act of 1934 (Exchange Act).

Knowledge, Skills and Abilities: Your qualifications will be further evaluated based upon the following KSAs.


·         Ability to lead change within an organization and achieve results.

·         Ability to build coalitions and effectively communicate with internal/external parties.

·         Ability to manage staff members.

·         Ability to analyze complex problems and devise innovative solutions which may have precedent-setting impact.

·         Knowledge of the federal securities laws, rules and regulations that govern the securities industry, in particular, Investment Company Act, Investment Advisers Act, as well as the Securities Act and (Exchange Act).

·         Ability to draft and oversee the drafting of rulemaking documents.

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. The full performance level of this position is SK-17. 

5. This appointment may require completion of a trial period up to two years.

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 not in the bargaining unit.



BASIS OF RATING: Once the announcement closes, your application will be automatically evaluated and rated 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 rating.


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


The SEC provides reasonable accommodations to applicants with disabilities who request them for the application and hiring process. If you have a disability and would like to apply for non-competitive placement under Schedule and/or you need a reasonable accommodation for any part of the application and hiring process, see information and instructions on 

TTY/ASCII users should use the toll free Federal Relay Service number: 1-800-877-8339 and provide the SEC number of the office or individual you are calling. For more information about using the Federal Relay Service see:


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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, Thursday, May 23, 2013 to be considered.


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 889163.  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. Responses to the Occupational Questionnaire

2. Résumé

3. Proof of Bar membership 

4. For Veterans: DD-214; For Disabled Veterans: DD-214, SF-15 and VA letter dated 1991 or later (if you are claiming veterans preference)


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 rating and or referral to the hiring official. If further evaluation or interviews are required, you will be contacted.

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