The Division of Investment Management's Chief Counsel Office seeks an Attorney Adviser (Senior Special Counsel) in the IM Liaison Office to provide expert legal analysis, guidance, and interpretations on complex issues under the Advisers Act and Investment Company Act. The role advises on exams and enforcement matters, supports cross-divisional initiatives, and ensures consistent application of federal securities laws.
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. Qualifying education must have been obtained from an accredited college or university recognized by the U.S. Department of Education. 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 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-16: Applicant must have one year of specialized experience equivalent to the GS/SK-14 level. Providing legal advice and analyses on regulatory issues; AND Researching and interpreting statutes to support the development and implementation of regulations; AND Interpreting, applying, and providing legal guidance on the provisions of the Investment Advisers Act, the Investment Company Act, the Securities Act, and the Exchange Act. ACCOMPLISHMENT RECORD COMPETENCIES: Your Accomplishment Record narratives should address the following competencies. See the How You Will Be Evaluated section below for more information: Legal and Regulatory Analysis - Conducts analysis and prepares documents and reports in compliance with Federal law that governs the rulemaking process. Critical Thinking - Considers a variety of factors, general and subject matter-specific, when making decisions and determining next steps in a case. Teamwork and Collaboration - Interacts with internal and external others in a manner that advances examinations and SEC goals and objectives. Workload Management - Effectively prioritizes workload in a way that accommodates unforeseen developments and achieves successful outcomes.
In this role as a Senior Special Counsel, you will be responsible for: Serving as a primary liaison between staff in the Division of Enforcement, Division of Examinations, other Divisions and Offices, and the Division of Investment Management (IM), ensuring enforcement and exam teams have timely access to IM's subject matter expertise. Providing expert legal and interpretive guidance on enforcement and examination matters, with a focus on issues arising under the Investment Advisers Act and the Investment Company Act. Delivering independent, high-level counsel on enforcement investigations, examinations and other significant matters from their initial development through final resolution, identifying emerging issues and advising on appropriate regulatory approaches. Leading or supporting complex legal projects involving novel or sensitive issues that may substantially affect Commission activities, coordinating with senior staff and serving as principal attorney where appropriate. Conducting in-depth legal research and analysis and preparing substantive written work products, including memoranda, analyses, and formal correspondence, or reviewing and providing quality assurance on work drafted by staff attorneys. Evaluating staff recommendations for enforcement actions involving investment advisers, investment companies, and private funds, ensuring consistency with IM policy, statutory requirements, and Commission precedent.