Description du poste
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.
PRINCIPALES MISSIONS :
For clarity, duties are grouped by office. Applicants may indicate interest in any combination of the offices-RMO, CCO-Legal, CCO-Liaison, or DRO-during the application process. Rulemaking Office (RMO) Analyzing policy and regulatory issues under the federal securities laws as they relate to investment advisers and investment companies; preparing rulemaking recommendations under the Investment Advisers Act and Investment Company Act; and drafting substantive legal documents-including releases, memoranda, Federal Register notices, and other materials-to explain proposed and final rulemaking initiatives. Researching, analyzing, and developing rule text to implement regulatory initiatives, and consulting and coordinating with staff across the Division, the Commission, and public and industry representatives on regulatory policy. Chief Counsel's Office-Legal (CCO-Legal) Providing formal and informal legal guidance on the Investment Company Act, the Investment Advisers Act, and related securities laws-including reviewing and evaluating no-action and interpretive requests-and reviewing and analyzing applications for exemptive relief under these statutes. Contributing to rulemaking, guidance, legislative, and policy initiatives related to investment companies, investment advisers, business development companies, and private funds. Chief Counsel's Office-Liaison (CCO-Liaison) Providing legal and interpretive guidance on examinations, investigations, and proposed enforcement actions involving investment advisers, investment companies, and private funds. Reviewing enforcement-related materials, including recommendation memoranda and adviser registration filings, and preparing substantive legal comments supporting Enforcement and Examinations matters. Disclosure Review Office (DRO) Reviewing, analyzing, and providing comments on investment company, business development company, and insurance company filings-including registration statements, merger materials, proxy filings, tender offers, and other submissions-to ensure compliance with applicable disclosure and regulatory requirements. Providing formal and informal guidance on disclosure-related issues arising under the Investment Company Act, Investment Advisers Act, and other applicable laws.
QUALIFICATIONS REQUISES :
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