About this role
Job SummaryThe Division of Investment Management is seeking a Branch Chief (Supervisory Attorney-Adviser). As a Supervisory Attorney Adviser, you will lead the review of registered fund and insurance product filings, provide expert legal and disclosure analysis, manage complex review projects, supervise and mentor staff, and coordinate with internal and external stakeholders to ensure clear, accurate, and compliant disclosures across the asset management industry.
QualificationsApplicants 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-15: Applicant must have at least one year of specialized experience equivalent to the GS/SK-13 level: 1. Providing legal advice through interpreting and applying the provisions of federal securities laws, such as the Investment Company Act, the Investment Advisers Act, the Securities Act, and/or 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: Competency 1: Disclosure Examination - Reviews and analyzes disclosure documents in accordance with relevant rules, regulations, accounting principles, standards, and Agency, Division, and Office positions and interpretations to determine compliance with agency and industry regulations. Competency 2: Teamwork and Collaboration - Interacts with internal and external others in a manner that advances agency goals and objectives. Competency 3: Workload Management - Effectively prioritizes workload in a way that accommodates unforeseen developments and achieves successful outcomes. Competency 4: Critical Thinking - Considers a variety of factors, general and subject matter-specific, when making decisions and determining next steps in a case.
Major DutiesIn this role as a Supervisory Attorney-Adviser, you will: Supervise the review of registered fund and insurance product filings, including registration statements, annual updates, proxies, and other submissions, by analyzing compliance with the Investment Company Act, Securities Act, and Exchange Act, and issuing clear written and oral comments to filers. Lead and manage unit staff, overseeing performance, training, recruitment, workload distribution, and professional development while ensuring personnel are informed of Commission policies and office priorities. Provide expert disclosure guidance across IM and the Commission, assisting offices and Divisions in resolving disclosure-related issues under the Investment Company Act and related federal securities laws. Monitor emerging industry trends and developments affecting registered funds and recommend or participate in projects that respond to evolving market practices and regulatory needs. Represent the office at meetings with senior SEC officials, external stakeholders, and industry representatives,communicating positions, resolving issues, and contributing to broader policy discussions. Improve and optimize the filing review process, identifying opportunities to streamline workflows, enhance consistency, and strengthen the efficiency and effectiveness of review practices. Prepare well-supported responses to correspondence, filings, and inquiries, providing accurate, timely written analysis to support IM's disclosure review responsibilities.