• Help

    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.

    IM's Disclosure Review and Accounting Office is seeking to fill two Attorney-Adviser positions in Washington, DC or New York, NY.




    Learn more about this agency

    Responsibilities

    Typical Duties:

    As an Attorney-Adviser in the Disclosure Review and Accounting Office of the Division of Investment Management, your work assignments may include any of the following tasks:

    • Review, analyze and provide comments on investment company, business development company, and insurance company registration statements, investment company merger documents, proxy materials, tender offers and other filings to help ensure full disclosure and compliance with applicable form and other regulatory requirements.
    • Provide formal and informal guidance to internal and external stakeholders relating to issues under the Investment Company Act, the Investment Advisers Act, and other laws and regulations.
    • Respond to public inquiries; provide legal and interpretive guidance on investigations and proposed enforcement actions, particularly with respect to the Investment Company Act and the Investment Advisers Act.
    • Assist Investment Management senior staff with the preparation of speeches and public presentations.

    Travel Required

    Occasional travel - You may be expected to travel for this position.

    Supervisory status

    No

    Promotion Potential

    14

  • Job family (Series)

    0905 Attorney

    Similar jobs

This job originated on www.usajobs.gov. For the full announcement and to apply, visit www.usajobs.gov/GetJob/ViewDetails/595632100. Only resumes submitted according to the instructions on the job announcement listed at www.usajobs.gov will be considered.