Position Information


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 Attorney-Adviser position in Washington, DC.

Typical Duties:
As an Attorney-Adviser in the Disclosure Review and Accounting Office of the Division of Investment Management, your work assignments may include any of the following tasks:

  • Review, analyze and provide comments on investment company and insurance company registration statements, investment company merger documents, proxy materials, tender offers and other filings from the standpoint of full disclosure and compliance with applicable form and other regulatory requirements.

  • 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.

  • Respond to public inquiries; provide legal and interpretive guidance on investigations and proposed enforcement actions, particularly with respect to the Investment Company Act and the Investment Advisers Act.

  • Assist Investment Management senior staff with the preparation of speeches and public presentations

Organization: The U.S. Securities and Exchange Commission
Location: Washington,  DC 
United States
Salary: $113,533 to $218,671
Posting Start Date: 7/16/2020
Date Posted: 7/16/2020
  • 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

  • Application procedures are specific to this vacancy announcement. Please read all the instructions carefully. Failure to follow the instructions may result in you not being considered for this position.

  • Supplementary vacancies may be filled in addition to the number stated in this announcement.

  • This position has promotion potential to the SK-14.

  • TRIAL PERIOD: This appointment may require completion of a two-year trial period.

  • SECURITY CLEARANCE: Entrance on duty is contingent upon completion of a pre-employment security investigation. Favorable results on a Background Investigation may be a condition of employment or selection to another position.

  • DRUG TESTING: This position may be subjected to drug testing requirements.

  • PERMANENT CHANGE OF STATION (PCS): Moving/Relocation expenses are not authorized.

  • DIRECT DEPOSIT: All Federal employees are required to have Federal salary payments made by direct deposit to a financial institution of their choosing.

  • This position is in the collective bargaining unit.


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.

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-13: Applicant must have 2 year(s) of post J.D. work experience as a practicing attorney, 1 year(s) of which includes: providing legal advice relating to the Federal securities laws, statutes, rules and regulations, for example, those related to the Investment Company Act, the Investment Advisers Act, Securities Act, and the Securities Exchange Act.

  • SK-14: Applicant must have three (3) years of post J.D. work experience as a practicing attorney, two (2) years of which includes: providing legal advice relating to the Federal securities laws, statutes, rules and regulations, for example, those related to Investment Company Act, Investment Advisers Act, Securities Act, and Securities Exchange Act. Experience must include conducting reviews and analysis on issues to assure legal adequacy, sufficiency, soundness of action recommended or taken.


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

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 résumé 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/.

    If you are unable to apply online or need to fax a document you do not have in electronic form, view the following link for information regarding an Alternate Application.

Status: This listing expires on: 8/15/2020
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Organization Information
The U.S. Securities and Exchange Commission
Division of Investment Management
100 F Street NE
Washington,  DC 20549
United States
(202) 551-5000