About this role
Job SummaryThe Chief Counsel's Office in the Division of Investment Management is seeking a Branch Chief to lead a team responsible for issuing guidance (such as no-action letters and staff bulletins) and providing exemptive relief under the Investment Company Act and the Investment Advisers Act and their related rules. In this role, you will manage the day-to-day operations of a team of staff attorneys, oversee a broad range of assignments, and collaborate with leadership to support the Commission.
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. 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 3 years of post J.D. work experience independently identifying legal issues, providing legal analyses, providing legal solutions/recommendations, and preparing legal documents such as contracts memoranda, briefs, and disclosure documents, which also includes 2 years: Providing advice on issues and policies related to Federal securities laws, statutes, rules and regulations; AND Conducting in-depth reviews and analyses of matters to ensure the legal adequacy, sufficiency, and soundness of recommended or taken actions; AND Identifying legal risks, evaluating alternative approaches, and developing well-supported recommendations that inform decision- makers; AND Coordinating with stakeholders to resolve legal questions and ensure consistent application of Federal securities law requirements. 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: Legal and Regulatory Analysis - Conducts analysis and prepares documents relating to compliance with Federal securities laws. Competency 2: Teamwork and Collaboration - Interacts with internal and external stakeholders to support organizational 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 Branch Chief, you will be responsible for: Managing a team of staff attorneys, including oversight of a diverse portfolio of projects and execution of supervisory responsibilities such as performance management, training, awards, recruitment, workload planning, motivating staff, and promoting professional development. Ensuring employees are informed about Commission policies, procedures, and goals as they relate to assigned work. Providing and recommending formal guidance-including no-action and interpretive letters, Commission orders or releases, and other forms of official guidance-that affects investment companies, investment advisers, and other participants in the asset-management industry. Providing informal guidance in response to inquiries received (e.g., from external parties or other offices within the Division of Investment Management) relating to investment companies, investment advisers, and other participants in the asset-management industry. Preparing Congressional testimony, assisting with drafting proposed legislation, and responding to inquiries from Congress and other federal agencies on matters involving investment companies, variable insurance products, and investment advisers. Assisting other SEC Divisions and Offices (such as Corporation Finance, Enforcement, EXAMS, and Trading and Markets) on issues concerning investment companies, investment advisers, and the asset-management industry more broadly.