Securities and Exchange Commission
SUPERVISORY ATTORNEY-ADVISER
Securities and Exchange Commission, Washington, District of Columbia, us, 20022
The Division of Investment Management (IM) works to support the SEC in its mission to protect investors, maintain fair, orderly, and efficient markets, and facilitate capital formation. IM regulates investment companies, variable insurance products, and federally registered investment advisers. IM's Rulemaking Office is seeking to fill one Supervisory Attorney-Adviser - Branch Chief position in the Investment Adviser Regulation Office - Branch 2 in Washington, DC.Duties
At the Securities and Exchange Commission (SEC), we are committed to diversity, equity, inclusion and accessibility (DEIA) and value a workforce that reflects the diverse experiences and perspectives of the communities we serve. As such, we welcome applications from qualified individuals of all backgrounds who share our commitment to public service.As a Branch Chief in the Investment Adviser Regulation Office in the Division of Investment Management, your work assignments may include any of the following tasks:Reviewing the laws and rules that regulate investment advisers and investment companies to determine whether the Commission should revise or adopt certain rules or amendments; drafting recommendations to propose or adopt rules, regulations, and amendments; developing interpretive positions; and helping to strategize to achieve the Commission's policy goals.Managing and overseeing rulemaking projects, from the initial, formative stages through the Commission's consideration and issuance of proposing and adopting releases; and applying the Administrative Procedures Act.Writing and reviewing the work of other staff in drafting work products, including recommended Commission rulemakings, staff guidance, and other written materials.Representing the Commission in various matters and advising other Commission programs related to the regulation of investment advisers, such as enforcement and examination matters, and disclosure of information by registrants.Carrying out supervisory duties, such as performance management, training and development, awards, and recruitment; keeping employees informed regarding the policies, procedures, and goals of the Commission as they relate to their work on assigned projects.Communicating with the Division's Director, Deputy Director, Associate Directors, and with others inside and outside the Division, about progress and developments in rulemaking matters.Salary
$157,212 - $271,360/yearConditions of Employment
CITIZENSHIP: You must be a US Citizen.You must possess a J.D. or LL.B Degree and be an active member of the bar in good standing.This position is open to current, permanent Division of Investment Management employees only.Application procedures are specific to this vacancy announcement. Please read all the instructions carefully. Failure to follow the instructions may result in you not being considered for this position.Supplementary vacancies may be filled in addition to the number stated in this announcement.This position has promotion potential to the SK-15.TRIAL PERIOD: This appointment may require completion of a two-year trial period.SECURITY CLEARANCE: Entrance on duty is contingent upon completion of a pre-employment security investigation. Favorable results on a Background Investigation may be a condition of employment or selection to another position.DRUG TESTING: This position may be subjected to drug testing requirements.PERMANENT CHANGE OF STATION (PCS): Moving/Relocation expenses are not authorized.DIRECT DEPOSIT: All Federal employees are required to have Federal salary payments made by direct deposit to a financial institution of their choosing.This position is not in the collective bargaining unit.This position is eligible to request telework in accordance with the SEC's telework policy.Existing Participants in the SEC’s Remote Telework Program are eligible to apply for this position. If selected, management will evaluate and communicate whether the position will allow for continued participation in Remote Telework.Qualifications
All qualification requirements must be met by the closing date of this announcement.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. Qualifying education must have been obtained from an accredited college or university recognized by the U.S. Department of Education.BASIC REQUIREMENT: All applicants
must
possess the followingJ.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-15:
Applicant must have one year of specialized experience equivalent to the GS/SK-14 or GS/SK-15 level. Specialized experience includes:Independently identifying legal issues, providing legal analyses, providing legal solutions/recommendations, and preparing legal documents, such as contracts, dispositions, pleadings, and motions, and also includes:Providing legal advice; ANDResearching and providing legal interpretation of statutes, and implementing regulations; ANDInterpreting and applying the provisions of the Investment Advisers Act or Investment Company Act, as well as the Securities Act and Exchange Act.Other InformationIMPORTANT INFORMATION FOR SURPLUS OR DISPLACED FEDERAL EMPLOYEES:
Career Transition Assistance Plan (CTAP) is available to individuals who have special priority selection rights under this plan. Individuals must be minimally qualified for this position to receive consideration for special priority selection. CTAP eligibles will be considered minimally qualified if they meet the minimum requirements for this position.Reasonable Accommodation:
If you are an applicant who needs a reasonable accommodation for disability to participate in the application process at the SEC, submit the form for Reasonable Accommodation for Participation in Job Application Process here. Please be sure to submit your request at least 5 business days in advance of the date you need the requested accommodation.Equal Employment Opportunity (EEO) Information for SEC Job Applicants:
Federal EEO laws protect all applicants from discrimination on the following bases: race, color, sex (not limited to conduct which is sexual in nature, includes pregnancy, gender identity, sexual orientation, transgender status), age (40 and over), religion, national origin, disability, genetic information, retaliation for participating in the EEO process or opposing discrimination. Applicants who believe they have been discriminated against on any EEO basis can seek recourse through the SEC's administrative complaints process. To be timely, an individual must enter the EEO process within 45 days from when they know (or should have known) of the alleged discrimination.Required DocumentsYou must provide a complete Application Package, which includes:Required : Your responses to the Occupational Questionnaire.Required : Your complete and comprehensive resume that includes a complete history of your work experience and the applicable employment dates with months and years.
It is recommended that your resume include the
title, series, and grade (e.g. SK-0301-12) for all relevant Federal experience.
To determine if you qualify for this position, OHR will review your work history that is relevant to the specific position for which you applied.
If you are a current SEC employee selected for this position, the standard percentage increases will be applied (i.e., 6% for non-supervisory and 10% for supervisory positions) if your selection results in a promotion. If your selection results in lateral movement (i.e. no change in grade) you will maintain your current salary.If you are relying on your education to meet qualification requirements:
Education must be accredited by an accrediting institution recognized by the U.S. Department of Education in order for it to be credited towards qualifications. Therefore, provide only the attendance and/or degrees from schools accredited by accrediting institutions recognized by the U.S. Department of Education.Failure to provide all of the required information as stated in this vacancy announcement may result in an ineligible rating or may affect the overall rating.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.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/.Benefits
A career with the U.S. government provides employees with a comprehensive benefits package. As a federal employee, you and your family will have access to a range of benefits that are designed to make your federal career very rewarding. Learn more about federal benefits.Review our benefits.Eligibility for benefits depends on the type of position you hold and whether your position is full-time, part-time or intermittent. Contact the hiring agency for more information on the specific benefits offered.
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At the Securities and Exchange Commission (SEC), we are committed to diversity, equity, inclusion and accessibility (DEIA) and value a workforce that reflects the diverse experiences and perspectives of the communities we serve. As such, we welcome applications from qualified individuals of all backgrounds who share our commitment to public service.As a Branch Chief in the Investment Adviser Regulation Office in the Division of Investment Management, your work assignments may include any of the following tasks:Reviewing the laws and rules that regulate investment advisers and investment companies to determine whether the Commission should revise or adopt certain rules or amendments; drafting recommendations to propose or adopt rules, regulations, and amendments; developing interpretive positions; and helping to strategize to achieve the Commission's policy goals.Managing and overseeing rulemaking projects, from the initial, formative stages through the Commission's consideration and issuance of proposing and adopting releases; and applying the Administrative Procedures Act.Writing and reviewing the work of other staff in drafting work products, including recommended Commission rulemakings, staff guidance, and other written materials.Representing the Commission in various matters and advising other Commission programs related to the regulation of investment advisers, such as enforcement and examination matters, and disclosure of information by registrants.Carrying out supervisory duties, such as performance management, training and development, awards, and recruitment; keeping employees informed regarding the policies, procedures, and goals of the Commission as they relate to their work on assigned projects.Communicating with the Division's Director, Deputy Director, Associate Directors, and with others inside and outside the Division, about progress and developments in rulemaking matters.Salary
$157,212 - $271,360/yearConditions of Employment
CITIZENSHIP: You must be a US Citizen.You must possess a J.D. or LL.B Degree and be an active member of the bar in good standing.This position is open to current, permanent Division of Investment Management employees only.Application procedures are specific to this vacancy announcement. Please read all the instructions carefully. Failure to follow the instructions may result in you not being considered for this position.Supplementary vacancies may be filled in addition to the number stated in this announcement.This position has promotion potential to the SK-15.TRIAL PERIOD: This appointment may require completion of a two-year trial period.SECURITY CLEARANCE: Entrance on duty is contingent upon completion of a pre-employment security investigation. Favorable results on a Background Investigation may be a condition of employment or selection to another position.DRUG TESTING: This position may be subjected to drug testing requirements.PERMANENT CHANGE OF STATION (PCS): Moving/Relocation expenses are not authorized.DIRECT DEPOSIT: All Federal employees are required to have Federal salary payments made by direct deposit to a financial institution of their choosing.This position is not in the collective bargaining unit.This position is eligible to request telework in accordance with the SEC's telework policy.Existing Participants in the SEC’s Remote Telework Program are eligible to apply for this position. If selected, management will evaluate and communicate whether the position will allow for continued participation in Remote Telework.Qualifications
All qualification requirements must be met by the closing date of this announcement.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. Qualifying education must have been obtained from an accredited college or university recognized by the U.S. Department of Education.BASIC REQUIREMENT: All applicants
must
possess the followingJ.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-15:
Applicant must have one year of specialized experience equivalent to the GS/SK-14 or GS/SK-15 level. Specialized experience includes:Independently identifying legal issues, providing legal analyses, providing legal solutions/recommendations, and preparing legal documents, such as contracts, dispositions, pleadings, and motions, and also includes:Providing legal advice; ANDResearching and providing legal interpretation of statutes, and implementing regulations; ANDInterpreting and applying the provisions of the Investment Advisers Act or Investment Company Act, as well as the Securities Act and Exchange Act.Other InformationIMPORTANT INFORMATION FOR SURPLUS OR DISPLACED FEDERAL EMPLOYEES:
Career Transition Assistance Plan (CTAP) is available to individuals who have special priority selection rights under this plan. Individuals must be minimally qualified for this position to receive consideration for special priority selection. CTAP eligibles will be considered minimally qualified if they meet the minimum requirements for this position.Reasonable Accommodation:
If you are an applicant who needs a reasonable accommodation for disability to participate in the application process at the SEC, submit the form for Reasonable Accommodation for Participation in Job Application Process here. Please be sure to submit your request at least 5 business days in advance of the date you need the requested accommodation.Equal Employment Opportunity (EEO) Information for SEC Job Applicants:
Federal EEO laws protect all applicants from discrimination on the following bases: race, color, sex (not limited to conduct which is sexual in nature, includes pregnancy, gender identity, sexual orientation, transgender status), age (40 and over), religion, national origin, disability, genetic information, retaliation for participating in the EEO process or opposing discrimination. Applicants who believe they have been discriminated against on any EEO basis can seek recourse through the SEC's administrative complaints process. To be timely, an individual must enter the EEO process within 45 days from when they know (or should have known) of the alleged discrimination.Required DocumentsYou must provide a complete Application Package, which includes:Required : Your responses to the Occupational Questionnaire.Required : Your complete and comprehensive resume that includes a complete history of your work experience and the applicable employment dates with months and years.
It is recommended that your resume include the
title, series, and grade (e.g. SK-0301-12) for all relevant Federal experience.
To determine if you qualify for this position, OHR will review your work history that is relevant to the specific position for which you applied.
If you are a current SEC employee selected for this position, the standard percentage increases will be applied (i.e., 6% for non-supervisory and 10% for supervisory positions) if your selection results in a promotion. If your selection results in lateral movement (i.e. no change in grade) you will maintain your current salary.If you are relying on your education to meet qualification requirements:
Education must be accredited by an accrediting institution recognized by the U.S. Department of Education in order for it to be credited towards qualifications. Therefore, provide only the attendance and/or degrees from schools accredited by accrediting institutions recognized by the U.S. Department of Education.Failure to provide all of the required information as stated in this vacancy announcement may result in an ineligible rating or may affect the overall rating.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.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/.Benefits
A career with the U.S. government provides employees with a comprehensive benefits package. As a federal employee, you and your family will have access to a range of benefits that are designed to make your federal career very rewarding. Learn more about federal benefits.Review our benefits.Eligibility for benefits depends on the type of position you hold and whether your position is full-time, part-time or intermittent. Contact the hiring agency for more information on the specific benefits offered.
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