SENIOR OFFICER-ASSOCIATE DIRECTOR

Full Job Description

The Division of Investment Management is seeking applicants for the Senior Officer-Associate Director position in the Disclosure Review and Accounting Office, located in Washington, DC.

This position is open to U.S. citizens. 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. Applicants are responsible for confirming all required materials are submitted by the deadline.

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.

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.

SO-01: Applicant must have at least four years of post J.D.

work experience identifying legal issues, providing legal analyses, recommendations, and preparing complex legal documents, which also includes at least three years of specialized experience: Interpreting and applying the provisions and providing sound advice regarding the Investment Company Act and Investment Advisers Act, as well as familiarity with the Securities Act and Exchange Act; Independently preparing and/or reviewing investment company SEC filings; Conducting second level reviews of filings; and Recommending resolution to a variety of disclosure reporting issues.

Major Duties:

The Division of Investment Management (IM), Disclosure Review and Accounting Office (DRAO) is seeking an Associate Director to serve as the head of the office, based in Washington, DC.

In this senior leadership role, you will oversee and direct a high-performing team that is responsible for recognizing, analyzing and resolving complex disclosure issues in registration statements, periodic reports and other filings submitted by investment companies to the Commission.

Typical duties include: Lead comprehensive reviews of statutes, regulations, and disclosure documents for registered investment companies, business development companies, and certain insurance products, providing expert legal analysis and guidance on complex issues Provide executive leadership for staff and deliver high-quality work products; ensure expertise in specialized market segments; monitor emerging and innovative financial techniques and offerings; build strategic relationships with relevant agencies and registrants; and represent the Commission through public outreach to fulfill its mission and vision.

Advise SEC senior leadership on complex and sensitive disclosure and policy issues, including matters involving high-stakes decisions and nuanced regulatory challenges.

Analyze complex factual or policy issues requiring extensive research, analysis, and coordination in order to recognize and evaluate precedent and assess their impact on mission.

Resolve challenging legal questions requiring innovative approaches to balance competing interests in policy and regulatory development.

In the capacity of senior legal adviser and counselor, attend and participate in meetings and conferences where critical disclosure policy formulation, procedural development, and program planning matters are discussed and agency positions are developed.