Senior Counsel-Investment Management

U.S. Securities and Exchange Commission; Los Angeles (CA); On-site; USD 120,000 - 160,000; Full time

Job summary

The U.S. Securities and Exchange Commission's Division of Investment Management seeks Attorney-Advisers (Senior Counsel-Investment Management) to provide legal analysis and guidance on matters affecting investment companies and advisers, review complex filings, and support rulemaking initiatives. Qualified applicants must have a J.D.

or LL.B. and active bar membership, with at least three years of post‑J.D.

Qualifications

• J.D. or LL.B. degree required and bar membership in good standing.
• At least 3 years of post-J.D. experience in identifying legal issues and drafting analyses and documents.
• Experience advising on Federal securities laws and coordinating with stakeholders.

Responsibilities

• Provide legal analysis and guidance on matters affecting investment companies and advisers.
• Review complex filings and regulatory submissions for accuracy and legal sufficiency.
• Support policy development and rulemaking initiatives within the Division.
• Coordinate with internal and external stakeholders to resolve legal questions.

Skills

Legal analysis

Regulatory analysis

Legal writing

Policy analysis

Education

J.D. or LL.B. degree

Job description

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. 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:

1. Providing advice on issues and policies related to Federal securities laws, statutes, rules and regulations; AND
2. Conducting in-depth reviews and analyses of matters to ensure the legal adequacy, sufficiency, and soundness of recommended or taken actions; AND
3. Identifying legal risks, evaluating alternative approaches, and developing well-supported recommendations that inform decision-makers; AND
4. 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.