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Attorney - Adviser

New York, NY
Full Time
Job #: 20-EX-10627883-CMH
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. The Division is seeking to fill an Attorney-Adviser position in the Analytics Office.

Typical Duties:
  • Serve as an expert adviser and consultant for the Division of Investment Management with regard to sensitive and complex issues dealing with the operation, management, and regulation of Business Development Companies regulated by the Securities and Exchange Commission (BDCs) (or similar entities, such as private equity funds).
  • Design and implement analytical reports about, and monitoring programs for, the asset management industry, particularly related to BDCs (or similar entities, such as private equity funds).
  • Review and analyze data regarding the asset management industry-particularly in the context of BDCs, (or similar entities, such as private equity funds) and report to senior management on developing risks and related regulatory issues.
  • Communicate, both orally and in writing, on issues relating to the asset management industry, particularly in the context of BDCs (or similar entities, such as private equity funds) to internal and external audiences holding divergent and conflicting views, including other federal agencies, the asset management industry, national and international conferences, and other professional experts.

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

Supervisory status

Promotion Potential

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-16 level.
  • 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-16: Applicant must have at least four year(s) of post J.D. work experience as a practicing attorney, at least three year(s) of which includes specialized experience:
  • Providing guidance as an expert, without supervision, in the evaluation of legal, policy and/or operational principles relating to Business Development Companies regulated by the Securities and Exchange Commission (BDCs) (or similar entities such as private equity funds), including experience in risk evaluation and analysis, and/or back office operations; AND
  • Interpreting and applying the provisions of the Investment Company Act of 1940 and the Investment Advisers Act of 1940.

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:

Closing Date: 31st October, 2019

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