The Division of Investment Management (IM) Rulemaking Office is seeking a Supervisory Attorney-Adviser (Assistant Director) position in the Investment Adviser Regulation Office in Washington, DC. As an Assistant Director, you will lead a staff of dynamic attorneys that are responsible for evaluating the operation of the Investment Advisers Act and the Commission rules.
Duties
Typical Duties Include: Reviewing the laws and rules that regulate investment advisers and investment companies to determine whether to recommend the Commission revise or adopt certain rules or amendments; developing recommendations to the Commission for rules that codify certain repetitive administrative actions such as exemptive orders or interpretive positions; and drafting proposed rules, regulations, and amendments. 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 product, 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, 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, Associate Directors, and with others inside and outside the Division and Commission, about progress and developments in rulemaking matters.
Salary
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. Applicants are responsible for confirming all required materials are submitted by the deadline. 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. 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 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-17: Applicant must have at least four (4) years of post J.D. work experience identifying legal issues, providing legal analyses, providing legal solutions/recommendations, and preparing legal documents, such as contracts, dispositions, pleadings, and motions, which also included at least three (3) years: Providing legal advice and interpretations of statutes and regulations and their implementation; AND Interpreting the provisions of the Investment Advisers Act or Investment Company Act, as well as the federal securities laws; AND Applying the provisions of the Investment Advisers Act or Investment Company Act, as well as the federal securities laws
Education
ARE YOU USING YOUR EDUCATION TO QUALIFY? You MUST provide transcripts or other documentation to support your educational claims. Unless otherwise stated: (1) official or unofficial transcripts are acceptable, or (2) you may submit a list with all of your courses, grades, semester, year, and credit for the course. All materials must be submitted by the closing date of the announcement. If you are qualifying for this position by substituting education or training for experience, submit a copy of your unofficial transcripts or equivalent. An official transcript will be required if you are selected. FOREIGN EDUCATION: If you are using education completed in foreign colleges or universities to meet the qualification requirements, you must show the education credentials have been evaluated by a private organization that specializes in interpretation of foreign education programs and such education has been deemed equivalent to that gained in an accredited U.S. education program; or full credit has been given for the courses at a U.S. accredited college or university. For further information, visit: http://www.ed.gov/about/offices/list/ous/international/usnei/us/edlite-visitus-forrecog.html
Required Documents
You must provide a complete Application Package, which includes: Required: Your responses to the Occupational Questionnaire. Required: Resume - To meet the minimum qualification requirements for this position, you must show that you possess the specialized experience related to this position within your two-page resume - NOT TO EXCEED 2 PAGES. Resumes over the 2-page limit, will not be reviewed beyond page 2. It is recommended that you include the title, series, and grade (e.g. Human Resources Specialist, SK-0201-14) for all relevant Federal experience. Your resume should highlight the competencies required for the position and include examples of experience, education, and accomplishments applicable to the qualification(s) and include specific employment dates (month and year and start and ends dates) and differentiate between full-time and part-time work. To help ensure the resume review fully credits your relevant experience, we recommend clearly referencing the competency and specialized experience demonstrated in each position or example you include in your resume. If your resume does not reflect demonstrated evidence of these qualifications, you may not receive consideration for the position. Candidates external to the SEC will be allowed to submit a comprehensive resume for pay setting purposes after a tentative offer is made. If the applicant fails to provide the comprehensive resume by the specified deadline, the resume submitted at the time of application will be used to determine pay. No additional documentation will be accepted after the deadline. Note: your resume must NOT contain pictures. For external candidates: Information on how your resume will be used for pay setting purposes can be found here. 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 your selection results in a change in grade from an SK-15 to an SK-16 you will maintain your current salary. For helpful guidance for writing a two-page resume, click here. Required, if applicable: Veteran's documentation (DD-214, member 4 copy or other documentation containing dates of service and character of discharge.) Required: Accomplishment Record - For each competency, applicants must provide a 300 word or less written narrative describing one example of competency-related experience. Each example should document the position title and dates when the experience was obtained, detailed information about the problem or situation, the specific actions taken by the applicant, and the results or outcomes achieved by those actions. The applicant will also provide the name and contact information of an individual who can verify the provided information. This document must be uploaded to the application under Accomplishment Record. An accomplishment record submitted outside the USA Staffing system will not be accepted. Required, if applicable: Unofficial Transcripts/Registration/License - If education is a qualification for this position, you must submit a copy of your unofficial transcripts with your application. If the position requires an active professional license or registration, you must submit a copy with your application. Official documents, and a Certificate of Good Standing, if applicable, will be required if selected.
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/.
