Senior Counsel-Investment Management

The Division of Investment Management is seeking Attorney-Advisers (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. We are looking to fill roles in the Rulemaking Office, Chief Counsel's Office (Legal and Liaison), and Disclosure Review Office.

For clarity, duties are grouped by office. Applicants may indicate interest in any combination of the offices-RMO, CCO-Legal, CCO-Liaison, or DRO-during the application process. Rulemaking Office (RMO) Analyzing policy and regulatory issues under the federal securities laws as they relate to investment advisers and investment companies; preparing rulemaking recommendations under the Investment Advisers Act and Investment Company Act; and drafting substantive legal documents-including releases, memoranda, Federal Register notices, and other materials-to explain proposed and final rulemaking initiatives.

Researching, analyzing, and developing rule text to implement regulatory initiatives, and consulting and coordinating with staff across the Division, the Commission, and public and industry representatives on regulatory policy. Chief Counsel's Office-Legal (CCO-Legal) Providing 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 reviewing and analyzing applications for exemptive relief under these statutes.

Contributing 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) Providing legal and interpretive guidance on examinations, investigations, and proposed enforcement actions involving investment advisers, investment companies, and private funds. Reviewing enforcement-related materials, including recommendation memoranda and adviser registration filings, and preparing substantive legal comments supporting Enforcement and Examinations matters.

Disclosure Review Office (DRO) Reviewing, analyzing, and providing 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. Providing formal and informal guidance on disclosure-related issues arising under the Investment Company Act, Investment Advisers Act, and other applicable laws.

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 3 years 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, 2 years of which includes: Providing advice on issues and policies related to Federal securities laws, statutes, rules and regulations; AND Conducting in-depth reviews and analyses of matters to ensure the legal adequacy, sufficiency, and soundness of recommended or taken actions; AND Identifying legal risks, evaluating alternative approaches, and developing well-supported recommendations that inform decision-makers; AND Coordinating with stakeholders to resolve legal questions and ensure consistent application of 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: Competency 1: Legal and Regulatory Analysis - Conducts analysis and prepares documents relating to compliance with Federal securities laws. Competency 2: Teamwork and Collaboration - Interacts with internal and external stakeholders to support organizational goals and objectives. Competency 3: Workload Management - Effectively prioritizes workload in a way that accommodates unforeseen developments and achieves successful outcomes.

Competency 4: 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.