Sunday , January 29 2023


Website U.S. Securities and Exchange Commission (SEC)

Job Description:

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.


Job Responsibilities:

If selected, you will join a team that is responsible for, among other things, issuing staff guidance (including no-action and interpretive letters), as well as providing exemptive relief under the Investment Advisers Act of 1940 and Investment Company Act of 1940, reviewing draft legislation and regulations, and coordinating with international securities-related organizations related to investment company and investment adviser matters.

Job Requirements:

  • Providing and recommending formal guidance, which may include no-action or interpretive letters, Commission orders or releases, or other forms of guidance.
  • Providing informal guidance on inquiries received (e.g., public telephone and e-mail inquiries) related to issues with respect to the Investment Company Act, the Investment Advisers Act, and other laws and regulations.
  • Assisting with Congressional testimony and in responding to Congressional inquiries related to investment companies and investment advisers.
  • Liaising with other divisions and offices in the Commission (e.g., Enforcement and Examinations) on matters related to investment companies and investment advisers.
  • Coordinating the division’s work with international organizations and entities (e.g. IOSCO, foreign regulators).
  • 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

Job Details:

Company: U.S. Securities and Exchange Commission (SEC)

Vacancy Type:  Full Time

Job Location: New York, NY, US

Application Deadline: N/A

Apply Here

 Report Job