WHO MAY APPLY: This position is open to employees in the Division of Investment ManagementLearn more about this agency
The Division of Investment Management regulates investment companies, variable insurance products, and federally registered investment advisers. Types of investment companies include mutual funds, closed-end funds, unit investment trusts, and exchange-traded funds. 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. This position is in the Division of Investment Management (Chief Counsel's Office, Legal Guidance No. 1) located in Washington, DC.
If selected, you will join a team that is responsible for providing exemptive relief and issuing no-action and interpretive letters under the Company Act and Adviser Act.
- Providing formal guidance in the form of no-action or interpretive letters or Commission orders
- Providing informal guidance on inquiries received (e.g., telephone, e-mail inquiries, review of registration statements for CF) related to issues with the Investment Company Act, the Investment Adviser Act, and other federal securities laws and regs
- Preparing Congressional testimony and responding to Congressional inquiries related to investment companies and investment advisers.
- Liaising with other divisions and offices in the Commission (e.g. Enforcement and OCIE) on matters related to investment companies and investment advisers.
- 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.
Job family (Series)
This job originated on www.usajobs.gov. For the full announcement and to apply, visit www.usajobs.gov/GetJob/ViewDetails/491094100. Only resumes submitted according to the instructions on the job announcement listed at www.usajobs.gov will be considered.