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 Chief Counsel's Office is seeking to fill an attorney-adviser positions in Washington, DC.
Duties
Typical Duties:
Provide formal and informal guidance to internal and external stakeholders relating to issues under the Investment Company Act, the Investment Advisers Act, and other laws and regulations, including requests for no-action and interpretive letters issued by the staff of the Division.
Review and analyze applications for exemptive relief under the Investment Company Act and the Investment Advisers Act.
Engage with staff in EXAMS, Enforcement, and other divisions and offices on Investment Advisers Act and Investment Company Act matters, including potential violations of these Acts.
Analyze and assist on key strategic initiatives, including rulemaking, guidance, legislative and other initiatives relating to investment companies and investment advisers.
Assist Investment Management senior staff with the preparation of speeches and public presentations.
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.
