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.Learn more about this agency
IM's Chief Counsel's Office is seeking to fill one Attorney-Adviser (liaison to the Office of Compliance, Inspections, and Examinations) position in the Enforcement Liaison Office in Washington, DC.
As a Senior Special Counsel in the Enforcement Liaison Office of the Division of Investment Management (IM), your work assignments may include any of the following tasks:
- Building and coordinating a centralized liaison function in IM with respect to the Office of Compliance, Inspections and Examinations (OCIE) that will serve as a central point of contact for inquiries from OCIE and build on IM's relationships with the regional offices.
- Acting as a liaison between staff in OCIE and other Divisions and Offices and staff in the Division of Investment Management to facilitate access to relevant expertise.
- Providing legal and interpretive guidance on examinations, proposed exam findings, risk alerts, enforcement referrals, and other initiatives, particularly with respect to issues under the Investment Company Act and the Investment Advisers Act.
- Assuming independent responsibility for providing guidance on particular examinations and other significant projects, from the initial, formative stages through the completion of the matter.
- Acting as or assisting the principal attorney in charge of projects with complex and difficult legal issues that may substantially impact the activities of the Commission.
- Researching and analyzing the legal issues raised by the matters reviewed and drafting substantive legal documents including memos and correspondence and/or reviewing the research, analysis and written documents of staff attorneys.
- Reviewing new or amended investment adviser registration forms to identify disciplinary events that might warrant enforcement action.
- Reviewing memos recommending that the Commission take enforcement actions that implicate investment advisers, investment companies and private funds.
25% or less - You may be expected to travel for this position.
Job family (Series)
This job originated on www.usajobs.gov. For the full announcement and to apply, visit www.usajobs.gov/GetJob/ViewDetails/560754900. Only resumes submitted according to the instructions on the job announcement listed at www.usajobs.gov will be considered.