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 Disclosure Review and Accounting Office is seeking to fill one Supervisory Attorney-Adviser (Branch Chief) position in Washington, DC.
Duties
Typical duties:
Supervise the review of filings submitted by investment companies to register the companies and their shares, interests in certain insurance contracts registered as securities, annual updates to registration statements, proxy provisions. In doing so, provide companies with written and oral comments on the filings to ensure that the filings comply with applicable securities laws. This includes analyzing and reviewing investment company filings submitted pursuant to the provisions of the Investment Company Act, Securities Act and Exchange Act.
Carry out supervisory duties, such as performance management, training, awards, and recruitment; workload management; keeping employees motivated; promoting employee professional development; and keeping employees informed regarding the policies, procedures, and goals of the Commission as they relate to their work on assigned projects.
Assist other offices and Divisions in resolving disclosure-related issues under the Investment Company Act.
Keep cognizant of current developments and industry trends as they affect the asset management industry and, in particular, registered funds. Recommend and participate in projects based on these trends.
Present at meetings with senior SEC officials, outside parties, and other stakeholders.
Think strategically about the Division's process for reviewing filing and how to maximize the efficiency of that process.
Prepare responses to correspondence, filings and other inquiries with the Division.
CITIZENSHIP: This position is open to US Citizens.
You must possess a J.D. or LL.B Degree
You must be an active member of the bar in good standing
The SEC is a bipartisan Commission consisting of up to five Commissioners appointed by the President and confirmed by the Senate. The President designates one Commissioner to serve as Chairman of the Commission. The SEC’s mission is to protect investors; maintain fair, orderly, and efficient markets; and facilitate capital formation. Accordingly, as outlined in the SEC’s Strategic Plan, the SEC’s goals are to focus on the long-term interests of our Main Street investors; recognize significant developments and trends in our evolving capital markets and adjust our efforts to ensure we are effectively allocating our resources; and elevate the agency’s performance by enhancing our analytical capabilities and human capital development. The SEC oversees the nation’s securities markets and certain market participants, including broker-dealers, investment companies, investment advisers, clearing agencies, transfer agents, credit rating agencies, and securities exchanges, as well as organizations such as the Financial Industry Regulatory Authority, Municipal Securities Rulemaking Board, and the Public Company Accounting Oversight Board. The agency’s functional responsibilities are carried o...ut through five divisions and 25 offices, each of which is headquartered in Washington, DC. The SEC also has 11 regional offices located throughout the country.
The SEC is considered a mid-sized federal agency, with 4,350 employees at the start of FY20. The SEC offers a competitive compensation and benefits package. In additional to standard federal benefits (i.e., escalating annual and sick leave, shared premiums for health, dental, vision, and life Insurance), we offer additional benefits related to child and elder care support, student loan repayment, generous retirement matching, transportation subsidy and many more benefits to support employee growth and development in our workforce.
