Senior Counsel-Investment Management

Summary

The Division of Investment Management is seeking an Attorney-Adviser (Senior Counsel-Investment Management). As a Senior Counsel, you will provide legal analysis and guidance on matters affecting investment companies and investment advisers, review complex filings and regulatory submissions, and support policy development and rulemaking initiatives.

Duties

For clarity, duties are grouped by office. During the application process, applicants may indicate interest in any combination of the following offices: the Rulemaking Office, the Chief Counsel's Office and the Disclosure Review and Accounting Office. Rulemaking Office (RMO) Analyze policy and regulatory issues under the federal securities laws as they relate to investment advisers and investment companies; prepare rulemaking recommendations under the Investment Advisers Act and Investment Company Act; and draft substantive legal documents-including releases, memoranda, Federal Register notices, and other materials-to explain proposed and final rulemaking initiatives. Research, analyze, and develop rule text to implement regulatory initiatives, and consult and coordinate with staff across the Division, the Commission, and public and industry representatives on regulatory policy. Chief Counsel's Office-Legal (CCO-Legal) Provide formal and informal legal guidance on the Investment Company Act, the Investment Advisers Act, and related securities laws-including reviewing and evaluating no-action and interpretive requests-and review and analyze applications for exemptive relief under these statutes. Contribute to rulemaking, guidance, legislative, and policy initiatives related to investment companies, investment advisers, business development companies, and private funds. Chief Counsel's Office-Liaison (CCO-Liaison) Provide legal and interpretive guidance on examinations, investigations, and proposed enforcement actions involving investment advisers, investment companies, and private funds. Review enforcement-related materials, including recommendation memoranda and adviser registration filings, and prepare substantive legal comments supporting Enforcement and Examinations matters. Disclosure Review and Accounting Office (DRAO) Review, analyze, and provide comments on investment company, business development company, and insurance company filings-including registration statements, merger materials, proxy filings, tender offers, and other submissions-to ensure compliance with applicable disclosure and regulatory requirements. Provide formal and informal guidance on disclosure-related issues arising under the Investment Company Act, Investment Advisers Act, and other applicable laws.

Qualifications

Applicants are responsible for confirming all required materials are submitted by the closing date of the announcement. Please check the How You Will Be Evaluated and Required Documents sections carefully, as missing documents will render the application incomplete and ineligible for review. Qualifying experience may be obtained in the private or public sector. Experience refers to paid and unpaid experience, including volunteer work done through National Service programs (e.g., Peace Corps, AmeriCorps) and other organizations (e.g., professional, philanthropic, religious, spiritual, community, student, social). Volunteer work helps build critical competencies, knowledge, and skills and can provide valuable training and experience that translates directly to paid employment. You will receive credit for all qualifying experience, including volunteer experience. All qualification requirements must be met by the closing date of this announcement. BASIC REQUIREMENT: All applicants must possess the following: J.D. or LL.B. degree --AND-- Active membership of the bar in good standing in any state, territory of the United States, the District of Columbia, or the commonwealth of Puerto Rico. (Note: proof of bar membership will be required before entry on duty. MINIMUM QUALIFICATION REQUIREMENT: In addition to meeting the basic requirement, applicants must also meet the minimum qualification requirement. SK-14: Applicant must have at least three year(s) of post J.D. work experience independently identifying legal issues, providing legal analyses, providing legal solutions/recommendations, and preparing legal documents such as contracts memoranda, briefs, and disclosure documents, two year(s) of which includes: Providing advice on issues and policies related to Federal securities laws, statutes, rules, and regulations; AND Reviewing and analyzing matters to confirm that recommended or taken actions comply with relevant legal requirements; AND Identifying legal risks and evaluating alternative approaches to develop recommendations that inform decision makers; AND Coordinating with stakeholders to address legal questions related to Federal securities law requirements. ACCOMPLISHMENT RECORD COMPETENCIES: Your Accomplishment Record narratives should address the following competencies. See the How You Will Be Evaluated section below for more information: Legal and Regulatory Analysis - Conducts analysis and prepares documents relating to compliance with Federal securities laws. Teamwork and Collaboration - Interacts with internal and external stakeholders to support organizational goals and objectives. Workload Management - Effectively prioritizes workload in a way that accommodates unforeseen developments and achieves successful outcomes. Critical Thinking - Considers a variety of factors, general and subject matter-specific, when making decisions and determining next steps. Applications will be reviewed on a rolling basis. All applicants are required to submit a complete application package by the specified cutoff dates. Incomplete submissions by the bi-weekly cutoff will not move forward in the hiring process. Certificates will be issued on a bi-weekly basis until the announcement's closing date. Cut Off Dates: August 12th; August 26th; September 9th; September 23rd

Education

You MUST provide transcripts or other documentation to support your educational claims. Unless otherwise stated: (1) official or unofficial transcripts are acceptable, or (2) you may submit a list with all your courses, grades, semester, year, and credit for the course. If you are qualifying for this position by substituting education or training for experience, you must submit a copy of your unofficial transcripts or equivalent by the closing date of the announcement. Qualifying education must have been obtained from an accredited college or university recognized by the U.S. Department of Education. Internal Applicants: OHR will verify education qualifications for internal applicants using documents in the Electronic Official Personnel Folder (eOPF). If required transcripts or certificates are not present in your eOPF, you will be required to provide them to OHR. If selected, a start date will not be established until official transcripts are received. FOREIGN EDUCATION: If you are using education completed in foreign colleges or universities to meet the qualification requirements, you must show the education credentials have been evaluated by a private organization that specializes in interpretation of foreign education programs. For more information, click here. Applicants may also find the following helpful: National Association of Credential Evaluation Services (NACES) is an association of 19 credential evaluation services with admission standards and an enforced code of good practice. Association of International Credentials Evaluators (AICE) is an association of 10 credential evaluation services with a board of advisors and an enforced code of ethics.

How You Will Be Evaluated

You will be evaluated for this position based on how well you meet the qualifications listed in this announcement. Your resume and application package will first be reviewed to determine whether you meet the minimum qualification requirements outlined in the announcement. Please do not submit an Accomplishment Record at this time. If you are found minimally qualified, the Office of Human Resources will contact you to request an Accomplishment Record. You will have 3 business days from the date of the request to submit it. Failure to submit the Accomplishment Record on time will remove you from further consideration. A response is required even if an Accomplishment Record was submitted at time of application. Because of the short turnaround time, you are strongly encouraged to begin preparing your Accomplishment Record in advance. Once your Accomplishment Record is received, a rating panel will review both your resume and your narrative responses. Your Accomplishment Record must clearly demonstrate your proficiency in the competencies listed in the Qualifications section. Click here for guidance on writing your Accomplishment Record. Your resume must provide evidence that supports the claims in your Accomplishment Record. Each narrative must describe one specific, relevant example from your experience or training. Responses are limited to 300 words per competency; any text beyond this limit will not be reviewed. Accomplishment Record Format: Competency Title Position title and dates from your resume that this experience was obtained Describe the situation (i.e., the challenged faced, the problem solved) Describe the specific actions you took State the outcome, results, or long-term impact of your accomplishment Name and email address of someone who can verify this information Reference checks may be conducted as part of the final selection process, and you will be notified before any contacts are made. Basis for Rating: The rating panel will evaluate applicants' accomplishment records and resume, then place them into one of the following categories: Highly Qualified - Meets the minimum qualification requirements and has extensive skills and experience in most of the job related competencies. Well Qualified - Meets the minimum qualification requirements and has a moderate amount of skills and experience in most of the job related competencies. Qualified - Meets the minimum qualification requirements, but may have a limited amount of experience in several of the job related competencies. Top ranked applicants will be referred to the hiring office for further review and consideration. The hiring office may directly contact recommended candidates for interview(s). To preview the Questionnaire, click https://apply.usastaffing.gov/ViewQuestionnaire/13021696

Required Documents

You must provide a complete Application Package, which includes: Required: Your responses to the Questionnaire. Required: Resume - Resumes should include relevant work experience, with specific employment dates, that demonstrates qualifications for the specialized experience and competencies as outlined above. If your resume does not reflect demonstrated evidence of these qualifications, you may not receive consideration for the position. Resumes that exceed two pages will be deemed ineligible and receive no further consideration. For resume writing tips, visit USAJOBS and the SEC careers page. Required, if applicable: Veteran's documentation (DD-214, member 4 copy or other documentation containing dates of service and character of discharge.) Required: Unofficial Transcripts - Applicants must submit unofficial transcripts, as outlined under the "Education" section, with their application, demonstrating that they satisfy the specified degree and coursework requirements. If selected for the position, candidates will be required to provide an official transcript showing the degree conferred date, certificate of good standing proof of active bar membership in good standing (i.e. certificate of good standing).

How to Apply

To apply for this position, you must complete the online application and submit the documentation specified in the Required Documents section below. A complete application package must be submitted by 11:59 PM (EST) on the closing date of the announcement to receive consideration. No additional documentation will be accepted after the closing date of the announcement. To begin, click Apply to access the online application. You will need to be logged into your USAJOBS account to apply. If you do not have a USAJOBS account, you will need to create one before beginning the application. Follow the prompts to select your resume and/or other supporting documents to be included with your application package. You will have the opportunity to upload additional documents to include in your application before it is submitted. Your uploaded documents may take several hours to clear the virus scan process. After acknowledging you have reviewed your application package, complete the Include Personal Information section as you deem appropriate and click to continue with the application process. You will be taken to the online application which you must complete in order to apply for the position. Complete the online application, verify the required documentation is included with your application package, and submit the application. To verify the status of your application, log into your USAJOBS account (https://my.usajobs.gov/Account/Login), all of your applications will appear on the Welcome screen. The Application Status will appear along with the date your application was last updated. For information on what each Application Status means, visit: https://www.usajobs.gov/Help/how-to/application/status/.

What to Expect Next

You will be notified of your application status through USAJOBS at four points during the hiring process, as applicable. You can check the status of your application by accessing the USAJOBS website at http://usajobs.gov/ and clicking on "Track Your Online Application." By submitting your application, you are certifying the accuracy of the information contained in your application. If you make a false statement in any part of your application, you may not be hired, you may be terminated after you begin work, or you may be fined or jailed. After making a tentative job offer, we will conduct a suitability/security background investigation. You will be required to submit official documentation before appointment. The agency will then verify the information provided on your application (i.e., degree, Veterans' Preference, certification of disability, etc.). Candidates external to the SEC will be allowed to submit a comprehensive resume for pay setting purposes after a tentative offer is made. If the applicant fails to provide the comprehensive resume by the specified deadline, the resume submitted at the time of application will be used to determine pay. No additional documentation will be accepted after the deadline.

Additional Information

Supplementary vacancies may be filled in addition to the number state...

Applicants are responsible for confirming all required materials are submitted by the closing date of the announcement. Please check the How You Will Be Evaluated and Required Documents sections carefully, as missing documents will render the application incomplete and ineligible for review. Qualifying experience may be obtained in the private or public sector. Experience refers to paid and unpaid experience, including volunteer work done through National Service programs (e.g., Peace Corps, AmeriCorps) and other organizations (e.g., professional, philanthropic, religious, spiritual, community, student, social). Volunteer work helps build critical competencies, knowledge, and skills and can provide valuable training and experience that translates directly to paid employment. You will receive credit for all qualifying experience, including volunteer experience. All qualification requirements must be met by the closing date of this announcement. BASIC REQUIREMENT: All applicants must possess the following: J.D. or LL.B. degree --AND-- Active membership of the bar in good standing in any state, territory of the United States, the District of Columbia, or the commonwealth of Puerto Rico. (Note: proof of bar membership will be required before entry on duty. MINIMUM QUALIFICATION REQUIREMENT: In addition to meeting the basic requirement, applicants must also meet the minimum qualification requirement. SK-14: Applicant must have at least three year(s) of post J.D. work experience independently identifying legal issues, providing legal analyses, providing legal solutions/recommendations, and preparing legal documents such as contracts memoranda, briefs, and disclosure documents, two year(s) of which includes: Providing advice on issues and policies related to Federal securities laws, statutes, rules, and regulations; AND Reviewing and analyzing matters to confirm that recommended or taken actions comply with relevant legal requirements; AND Identifying legal risks and evaluating alternative approaches to develop recommendations that inform decision makers; AND Coordinating with stakeholders to address legal questions related to Federal securities law requirements. ACCOMPLISHMENT RECORD COMPETENCIES: Your Accomplishment Record narratives should address the following competencies. See the How You Will Be Evaluated section below for more information: Legal and Regulatory Analysis - Conducts analysis and prepares documents relating to compliance with Federal securities laws. Teamwork and Collaboration - Interacts with internal and external stakeholders to support organizational goals and objectives. Workload Management - Effectively prioritizes workload in a way that accommodates unforeseen developments and achieves successful outcomes. Critical Thinking - Considers a variety of factors, general and subject matter-specific, when making decisions and determining next steps. Applications will be reviewed on a rolling basis. All applicants are required to submit a complete application package by the specified cutoff dates. Incomplete submissions by the bi-weekly cutoff will not move forward in the hiring process. Certificates will be issued on a bi-weekly basis until the announcement's closing date. Cut Off Dates: August 12th; August 26th; September 9th; September 23rd