Regulatory Counsel

Securities and Exchange Commission; Boston (MA); On-site; USD 110,000 - 160,000; Full time

Job summary

The Securities and Exchange Commission is seeking an Attorney-Advisor (Regulatory Counsel) in Boston, MA to support the IAIC Examination program. You will analyze federal securities laws, draft memoranda, and provide regulatory guidance to exam teams and stakeholders.

Applicants should hold a J.D. or LL.B., be an active bar member, and have several years of post‑J.D. experience applying securities laws to investment advisers and investment companies, with strong written‑work skills.

Qualifications

• J.D. or LL.B. degree and active bar membership required.
• Post‑J.D. experience with regulatory matters under federal securities laws is required.
• Proven ability to draft legal memoranda, guidance, and formal documents for diverse audiences.

Responsibilities

• Analyze federal securities laws, rules, and policies as they relate to IA/IC and related entities.
• Draft memoranda, filings, and other written work products for varied audiences.
• Provide regulatory guidance and collaborate with examination teams and SEC leadership.

Skills

Regulatory compliance

Legal research

Written communication

IA/IC regulatory knowledge

Education

J.D. or LL.B. degree

Tools

Westlaw

Lexis

Job description

The Division of Examinations, is seeking an Attorney-Advisor (Regulatory Counsel), SK-0905-16 for the Investment Adviser/Investment Company (IAIC) Examination in Boston, MA. As a Regulatory Counsel, you will join a well-respected team that is responsible for supporting EXAMS' mission to conduct and coordinate the nationwide examination program for broker dealer entities or investment advisors/investment companies over which the Commission has regulatory authority.

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-16:

Applicant must have at least four years post-J.D experience identifying legal issues, providing legal analyses, providing legal solutions/recommendations, and preparing legal documents, such as contracts, dispositions, pleadings, and motions, which also includes a t at least three years:

1. Providing legal advice on issues related to the laws, rules, regulations and policies of the federal securities laws (e.g., the Securities Act of 1933 and the Securities Exchange Act of 1934) as they relate to financial institutions, such as investment advisers and investment companies; broker-dealers; transfer agents; exchanges; clearing agencies; and/or other registered entities.; AND
2. Researching, preparing, and delivering guidance on a variety of legal issues arising from interpretation and application of federal securities laws, rules and regulations; AND
3. Drafting and editing memoranda, filings or other substantive written work product for various audiences on a variety of legal issues involving federal securities laws, rules and regulation.

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: IA/IC: Assessment of investment Advisors (IAs) and Investment Companies (ICs): Utilizes knowledge of the Investment Advisers and Investment Company Act of 1940 (the "Rules") and expertise in IA/IC to identify deficiencies during examinations and produce recommendations for improvement
• Competency 2: Information Gathering: Ability to gather and process large amounts of information and make connections to understand possible deficiencies
• Competency 3: Teamwork and Collaboration: Interacts with internal and external others in a manner that advances examinations and SEC goals and objectives.
• Competency 4: Managing Information: Ability to ensure that programs strategically utilize and share information, with some guidance