SUMMARY The Division of Investment Management regulates investment companies, variable insurance products, and federally registered investment advisers. Types of investment companies include mutual funds, closed-end funds, unit investment trusts, and exchange-traded funds. The Associate Director-Chief Counsel position is located in the Division of Investment Management located in Washington, DC.
RESPONSIBILITES The Associate Director -Chief Counsel's Office (CCO) will join a dynamic team that is responsible for issuing no-action letters, interpretive letters and other guidance under the Investment Company Act of 1940 (Investment Company Act), the Investment Advisers Act of 1940 (Investment Advisers Act) and their related rules, and under other federal securities laws that affect the asset management industry. The CCO also reviews and analyzes applications requesting exemptive orders under the Investment Company Act and the Investment Advisers Act and drafts the Commission releases related to those applications.
Overseeing development of staff guidance provided under the Investment Company Act of 1940 and the Investment Advisers Act of 1940 and related rules, including interpretive and no-action letters, FAQs, and exemptive relief.
Advising other offices in the Division of Investment Management, other Divisions of the SEC, and Commissioners on legal and interpretive issues arising under the Investment Company Act of 1940 and Investment Advisers Act of 1940.
Representing the Division of Investment Management at external conferences and meetings with other regulators, including non-U.S. regulators.
Providing technical assistance on proposed legislation and responding to Congressional inquiries regarding issues under the Investment Company Act of 1940 and the Investment Advisers Act of 1940, and issues impacting the investment management industry.
Applying knowledge of the securities laws and investment management industry to advise other senior SEC staff on product innovations and industry developments.
You must posses J.D. or LL.B. degree;
You must be an active member of the bar in good standing; and
SK-01: Applicant must possess at least four years of post J.D. experience as a practicing attorney.
Internal Number: 19-EX-10349084-DMQ
About U.S. Securities and Exchange Commission
The Securities and Exchange Commission's mission is to protect investors, maintain fair, orderly, and efficient markets, and facilitate capital formation. The agency seeks high-caliber employees who share the same values of integrity, fairness, accountability, resourcefulness, teamwork, and commitment to excellence.