Job Title Attorney-Adviser
Location Washington, DC 

Compensation $112,524 to $212,478 / Per Year 

Series & Grade SK-13/14 

Position Number 19-EX-10505693-CMH Application Deadline June 10, 2019 

Summary 

The Division of Investment Management is seeking to fill an Attorney-Adviser position in the Disclosure Review and Accounting Office, Disclosure Review Office No. 3. 

Responsibilities 

• Analyzing policy and regulatory issues under the federal securities laws as they relate to the regulation of investment advisers;

• The review of various disclosure documents for open-end funds, closed-end funds and exchange-traded funds, including registration statements, proxies, and other filings required by the federal securities laws;

• Utilizing financial technology to analyze investment companies and review disclosure documents;

• Preparing recommendations and guidance as they relate the federal securities laws, statues, and Investment Advisers Act and the Investment Company Act;

• Drafting substantive legal documents including draft releases and memos explaining proposed and final rulemaking initiatives;

• Researching, analyzing and developing rule text to implement regulatory initiatives;

• Consulting and coordinating with staff across the Division and Commission and public and industry representatives regarding regulatory policy and registration documents.

Qualifications 

SK-13: Applicant must have two years of post J.D. work experience as a practicing attorney, one year of which includes: providing legal interpretation of federal securities laws, statutes, rules, particularly those related to the Investment Company Act of 1940, the Investment Advisers Act of 1940, the Securities Act of 1933 and/or the Securities Exchange Act of 1934. 

SK-14: Applicant must have three years of post J.D. work experience as a practicing attorney, two years of which includes: providing legal interpretation of federal securities laws, statutes, rules, particularly those related to the Investment Company Act of 1940, the Investment Advisers Act of 1940, the Securities Act of 1933 and/or the Securities Exchange Act of 1934 and conducting reviews and analysis on issues to assure legal adequacy, sufficiency and soundness of action recommended or taken. 

To Apply 

To learn more about this employment opportunity and to apply online, please visit https://go.usa.gov/xmAgn 

For assistance, please contact the Office of Minority and Women Inclusion at (202) 551-6046 or omwi@sec.gov. The SEC is an equal opportunity employer