Become a Senior Counsel for the SEC: A Career in Financial Regulation
The Securities and Exchange Commission (SEC) plays a vital role in maintaining fair, orderly, and efficient markets. As a Senior Counsel within the Division of Investment Management, you are not just practicing law; you are shaping the regulatory environment that protects millions of investors. If you possess a sharp legal mind and a commitment to public service, this role offers a unique platform to impact national financial policy.
Job Responsibilities
This role is multi-faceted, with opportunities to work across several key offices:
- Rulemaking Office (RMO): Develop and draft regulatory initiatives under the Investment Advisers Act.
- Chief Counsel's Office: Provide interpretive guidance and evaluate requests for exemptive relief.
- Disclosure Review and Accounting Office (DRAO): Ensure compliance by reviewing complex filings like registration statements and proxy materials.
Comparison of Office Focus Areas
| Office | Primary Focus | Key Tasks |
|---|---|---|
| RMO | Regulatory Policy | Drafting rules and releases |
| CCO | Legal Interpretation | No-action letters & advice |
| DRAO | Disclosure Compliance | Reviewing filings & prospectuses |
Requirements
To be considered for this high-level position, you must:
- Hold a valid J.D. or LL.B. degree.
- Be an active member of the bar in good standing.
- Have at least three years of post-J.D. legal experience, with specific experience in securities law.
- Be comfortable working in a high-risk security environment.
Salary and Benefits
- Salary Range: $153,114 - $264,301 per year.
- Benefits: The SEC offers a competitive federal benefits package, including comprehensive health insurance, retirement planning, and generous leave policies.
Serving as a Senior Counsel at the SEC is a career-defining move for any legal professional. If you are ready to take the next step in your legal career while serving the American public, we encourage you to review the requirements and submit your application package today.
Why This Senior Counsel-Investment Management Job Matters
Shape the future of the financial landscape—join the Securities and Exchange Commission as a Senior Counsel and safeguard the integrity of our nation's investment markets.
Senior Counsel-Investment Management Job Overview
The SEC’s Division of Investment Management is seeking an experienced Attorney-Adviser to serve as Senior Counsel. In this pivotal role, you will perform high-level legal analysis, draft critical rulemaking documents, provide interpretive guidance on securities law, and support enforcement and examination initiatives. This position is ideal for a seasoned legal professional dedicated to promoting investor protection, fair markets, and sustainable capital formation.
Requirements for Senior Counsel-Investment Management
- Juris Doctor (J.D.) or Bachelor of Laws (LL.B.) degree.
- Active membership in good standing with the bar of any state, U.S. territory, D.C., or Puerto Rico.
- At least three years of post-J.D. experience identifying legal issues, providing analysis, and preparing legal documents.
- Two years of specialized experience specifically in federal securities laws, regulatory compliance, and stakeholder coordination.
- Ability to obtain and maintain a High Risk security clearance.
- Submission of a complete application package, including transcripts and questionnaire responses, by the specified cutoff dates.
Preferred Qualifications for Senior Counsel-Investment Management
- Demonstrated expertise in the Investment Company Act and Investment Advisers Act.
- Proven experience in drafting complex regulatory releases, no-action letters, or exemptive relief applications.
- Strong background in reviewing registration statements, proxy materials, and other disclosure documents.
- Exceptional ability to synthesize complex legal risks into clear recommendations for senior decision-makers.
- Proven track record of successful collaboration with cross-functional teams and external industry representatives.
Federal Benefits & Perks
- ✓Competitive federal salary with locality adjustments
- ✓Comprehensive health, dental, and vision insurance plans
- ✓Federal Employees Retirement System (FERS) benefits
- ✓Generous paid annual leave, sick leave, and federal holidays
- ✓Opportunities for professional development and training
- ✓Work-life balance initiatives
- ✓Transit subsidy programs and flexible work arrangements
💡 How to Apply Senior Counsel-Investment Management Job & Insider Tips
Application Steps for Senior Counsel-Investment Management Job
- Create or update your USAJOBS account profile.
- Review the specific duties for the Rulemaking, Chief Counsel, and Disclosure Review offices to identify your area of interest.
- Prepare a resume limited to exactly two pages; ensure it reflects relevant dates and specific legal competencies.
- Complete the online questionnaire via the provided USAJOBS application link.
- Upload required documents, including unofficial transcripts and bar membership evidence.
- Monitor your status via the USAJOBS dashboard; if contacted, prepare to submit an Accomplishment Record within three business days.
💡 General Tips
- Start drafting your Accomplishment Record early, as you will only have three business days to submit it if requested.
- Keep your resume strictly to two pages or less to avoid automatic disqualification.
- Ensure your resume provides concrete examples of how you have analyzed federal securities laws, as generic summaries may be insufficient.
- Check your USAJOBS application status frequently, as certificates are issued on a bi-weekly rolling basis until the closing date.
- Verify that your bar membership is active and in good standing before applying.
Frequently Asked Questions
What is the application deadline?
The position remains open until September 30, 2026; however, applications are reviewed on a rolling basis following bi-weekly cutoff dates.
Can I apply if I don't live in one of the listed cities?
The position is available in multiple specific locations (LA, Denver, DC, Boston, NYC, Philadelphia). You should be prepared to work from one of these locations.
What happens if my resume is longer than two pages?
Resumes exceeding two pages will be deemed ineligible and will not receive further consideration.
Job from Securities And Exchange Commission
The SEC is an independent federal agency dedicated to investor protection and capital formation. Employees at the SEC work with industry experts to navigate the complexities of the global financial market. Joining this team provides you with an unparalleled opportunity to deepen your legal knowledge while contributing to the nation's economic growth.