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.

IM’s Analytics Office No. 2 is seeking to fill a Supervisory Attorney-Adviser (Branch Chief), or as a Supervisory Financial Analyst under vacancy announcement 23-DE-11947508-WLJ and 23-MP-11947511-WLJ.


  • Managing and participating in projects designed to address questions relating to registered investment advisers, registered investment companies and private funds, including industry outreach, examinations, and analysis of asset management industry data.
  • Researching legal/financial issues under the Investment Company Act and Investment Advisers Act and related regulations, and providing legal/financial review, analysis, and/or guidance.
  • Working closely with analytical, examination, and legal staff to summarize industry data analysis, information gathered in outreach, and exam findings in a clear, concise way that is appropriate for the audience.
  • Coordinating with staff across the Division and Commission, as well as public and industry representatives regarding policy affecting AO and the Division.
  • 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.
  • Working with senior management on office and personnel development as well as the designing and implementing of new initiatives.


Conditions of Employment

  • CITIZENSHIP: This position is open to US Citizens.
  • You must possess a J.D. or LL.B Degree.
  • You must be an active member of the bar in good standing
  • 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-15.
  • 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 not in the collective bargaining unit.
  • This position is eligible to request telework in accordance with the SEC ‘s telework policy.


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-15: Applicant must have three 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, dispositions, pleadings, and motions, which also includes two years of:

  1. Evaluating, auditing, examining, or investigating issues related to data, records and/or practices of investment advisers, investment companies, private funds and/or other SEC-registered entities (as well as the relevant governing statutes and rules, such as the Investment Company Act and Investment Advisers Act, as well as the Securities Act and Exchange Act); AND
  2. Communicating findings and analysis, both in writing and orally, in ways that are appropriate and impactful for a variety of audiences, including senior leadership, other staff, and the public; AND
  3. Working with and/or leading teams of staff with varying backgrounds and experience, such as attorneys, analysts, accountants, and/or examiners.


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:

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