SUPERVISORY ATTORNEY-ADVISER

Employer
USAJobs
Location
Washington, D.C
Posted
May 25, 2019
Closes
Jun 01, 2019
Hours
Full Time
Duties

Summary

The Division of Investment Management regulates federally registered investment advisers, investment companies, and variable insurance products.

Learn more about this agency

Responsibilities

If selected, you will join a well-respected team that is responsible for evaluating the operation of the Investment Advisers Act and the Commission rules thereunder; for recommending legislative and regulatory changes designed to produce a coherent regulatory structure consistent with the policy objectives of the Act; and for the organization, operation, and execution of all related work programs.

Typical Duties Include:
  • The Assistant Director position is located in the Rulemaking Office, Investment Adviser Regulation Office.
  • Reviewing the laws and rules that regulate investment adviser and investment companies to determine whether the Commission should revise or adopt certain rules or amendments; developing rules that codify certain repetitive administrative actions such as exemptive orders or interpretive positions; and drafting proposed rules, regulations, amendments, and new legislation.
  • Managing and overseeing rule making projects, from the initial, formative stages through the Commission's consideration and issuance of proposing and adopting releases.
  • Representing the Commission in various matters and advising other Commission programs related to the regulation of investment advisers, such as enforcement and examination matters, 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, Deputy Director, Associate Directors, and with others inside and outside the Division, about progress and developments in rule making matters.


Travel Required

Occasional travel - You may be expected to travel for this position.

Supervisory status
Yes

Promotion Potential
17

Requirements

Conditions of Employment

  • You must possess a J.D. or LL.B Degree
  • You must be an active member of the bar in good standing
  • This position is open to all U.S. citizens and persons lawfully admitted for permanent residence and seeking citizenship as outlined in 8 U.S.C. 1324b(a)(3)(B)
  • 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-17.
  • TRIAL PERIOD: This appointment may require completion of a two-year supervisory 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 not in the collective bargaining unit.


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.

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 4 year(s) of post J.D. work experience as a practicing attorney, 3 year(s) of which includes: providing legal advice, researching and providing legal interpretation of statutes, and implementing regulations; interpreting and applying the provisions of the Investment Advisers Act or Investment Company Act, as well as the Securities Act and Exchange Act.


Education

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

Additional information

Disability Employment: For information on disability appointments, please visit http://www.opm.gov/policy-data-oversight/disability-employment/

IMPORTANT INFORMATION FOR SURPLUS OR DISPLACED FEDERAL EMPLOYEES: Career Transition Assistance Plan (CTAP) is available to individuals who have special priority selection rights under this plan. Individuals must be minimally qualified for this position to receive consideration for special priority selection. CTAP eligibles will be considered minimally qualified if they meet the minimum requirements for this position.

Reasonable Accommodation: If you are an applicant who needs a reasonable accommodation for disability to participate in the application process at the SEC, submit the form for Reasonable Accommodation for Participation in Job Application Process here . Please be sure to submit your request at least 5 business days in advance of the date you need the requested accommodation.

Equal Employment Opportunity (EEO) Information for SEC Job Applicants: Federal EEO laws protect all applicants from discrimination on the following bases: race, color, sex (not limited to conduct which is sexual in nature, includes pregnancy, gender identity, sexual orientation, transgender status), age (40 and over), religion, national origin, disability, genetic information, retaliation for participating in the EEO process or opposing discrimination. Applicants who believe they have been discriminated against on any EEO basis can seek recourse through the SEC's administrative complaints process. To be timely, an individual must enter the EEO process within 45 days from when they know (or should have known) of the alleged discrimination. Click here for additional information.

TTY/ASCII: Video Relay Service users are welcome to contact the appropriate SEC office or employee via the contact information listed above. If you do not otherwise have access to a Video Phone or Video Relay service, you may send us an email or use the Federal Video Relay Service via the internet. For more information about using the Federal Relay Service and to create a new account, please see: http://fedvrs.us/

How You Will Be Evaluated

You will be evaluated for this job based on how well you meet the qualifications above.

If you meet the minimum qualifications stated in the vacancy announcement, we will compare your resume and supporting documentation to your responses on the occupational questionnaire. Your resume must support your responses to the occupational questionnaire. After review of your application materials, if you are determined to be minimally qualified, you will be referred to the selecting official.

Applicants will be evaluated on the following competencies:
  • Leadership: Ability to develop, lead, direct, and motivate a diverse group of people taking into account individual goals, values and sensitivities.
  • Technical Competence: Knowledge of the Federal Securities Laws administered by the Commission and the rules and regulations, specifically the Investment Advisers Act or Investment Company Act, as well as knowledge of the Securities Act and Securities Exchange Act.
  • Technical Competence: Ability to provide expert legal assistance, advice, and analysis of complex and controversial legal issues related to the area of jurisdiction with varying levels of expertise.
  • Strategic Thinking: Ability to synthesize, extract, analyze, and organize legal information, data, strategies from a variety of sources while meeting deadlines and maintaining quality.
  • Oral Communication
  • Written Communication

The Occupational Questionnaire will take you approximately 10 minutes to complete. To preview the Occupational Questionnaire, click the following link https://apply.usastaffing.gov/ViewQuestionnaire/10502649

Background checks and security clearance

Security clearance
Other

Drug test required
No

Required Documents

You must provide a complete Application Package, which includes:
  • Required: Your responses to the Occupational Questionnaire.
  • Required: Your complete and comprehensive resume that includes a complete history of your work experience and the applicable employment dates with months and years. To determine if you qualify for this position, OHR will review your work history that is relevant to the specific position for which you applied. If you are an external candidate selected for this position, OHR will review your complete work history to establish your starting salary. 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 8% 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. Note: Your resume must directly address the definition of specialized experience listed in the qualification section of this announcement and must NOT contain pictures.
  • Required, if applicable: Veteran's documentation (DD-214, member 4 copy or other documentation containing dates of service and character of discharge.)
  • Required, if applicable: CTAP documentation (a copy of a separation notice or other proof of eligibility for priority selection; a copy of an SF-50, Notification of Personnel Action, showing current position, grade, promotion potential, and duty location; AND a copy of your most recent performance appraisal.)


If you are relying on your education to meet qualification requirements:

Education must be accredited by an accrediting institution recognized by the U.S. Department of Education in order for it to be credited towards qualifications. Therefore, provide only the attendance and/or degrees from schools accredited by accrediting institutions recognized by the U.S. Department of Education .

Failure to provide all of the required information as stated in this vacancy announcement may result in an ineligible rating or may affect the overall rating.

Similar jobs