Duties

Typical duties:

• Carrying out a wide variety of duties relating to securities market intermediaries, such as broker-dealers, funding portals, and security-based swap dealers, including work on exemptive and no-action requests, Commission rulemaking initiatives and special projects, as well as related self-regulatory organization proposed rule changes.
• Assisting the Director, Deputy Directors, Chief Counsel and other staff within and outside the Division on a wide array of legal, policy and administrative issues relating to securities markets and market intermediaries.
• Participate in advising on policy matters relating to market intermediaries and providing assistance in the development and implementation of Commission initiatives, including providing technical assistance in the development and implementation of statutory or other regulatory initiatives as well as working with other regulators, both domestic and international, in connection with such initiatives.
• Performing independent analysis of legal memoranda and reports prepared by the staff related to various legal and policy issues; summarizing the factual and legal issues involved, briefing the Director, Deputy Director and the Chief Counsel with respect thereto; and presenting recommendations as to the proper course of action.
• Review and provide advice regarding enforcement recommendations, as well as advice and assistance to other Division and Commission staff whose work has broad legal implications and may require anticipation of the development of law to formulate policy alternatives, and analyze the legal aspects of such alternatives, consistent with the development of law.
• Supervising and managing staff assigned to a wide array of matters, reviewing and editing written work product prepared by staff in connection with these matters; and providing feedback and coaching as needed to improve performance and facilitate staff development.
• Supervising, organizing, and designing scope and parameters of projects; defining issues to resolve, the data required, and the parties to be consulted.

Requirements

Conditions of Employment

• CITIZENSHIP: You must be a US Citizen.
• You must possess a J.D. or LL.B Degree and You must be an active member of the bar in good standing.
• This position is open to current, permanent Division of Trading and Markets employees only.
• 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.
• Due to COVID-19, the SEC is currently in a optional telework posture. This position is eligible to request telework in accordance with the SEC 's telework policy.

Qualifications

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 one year of specialized experience equivalent to the GS/SK-14 level. Specialized experience includes: independently identifying legal issues, providing legal analyses, providing legal solutions/recommendations, and preparing legal documents, and motions, and also includes:

Interpreting and applying the provisions of the laws, rules, and regulations that govern the securities industry, in particular, the Securities Exchange Act of 1934 ("Exchange Act") or

Drafting Commission releases, no action letters, or exemptive orders relating to the Exchange Act; or

Providing guidance and expertise in the evaluation of regulatory matters; or

Explaining the application of legal principles and precedents or developing and justifying recommendations or conclusions.

Education

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: http://www.ed.gov/about/offices/list/ous/international/usnei/us/edlite-visitus-forrecog.html

Additional information

To ensure compliance with an applicable preliminary nationwide injunction, which may be supplemented, modified, or vacated, depending on the course of ongoing litigation, the Federal Government will take no action to implement or enforce the COVID-19 vaccination requirement pursuant to Executive Order 14043 on Requiring Coronavirus Disease 2019 Vaccination for Federal Employees. Therefore, to the extent a Federal job announcement includes the requirement that applicants must be fully vaccinated against COVID-19 pursuant to E.O. 14043, that requirement does not currently apply. Federal agencies may request information regarding the vaccination status of selected applicants for the purposes of implementing other workplace safety protocols, such as protocols related to masking, physical distancing, testing, travel, and quarantine.

IMPORTANT INFORMATION FOR SURPLUS OR DISPLACED FEDERAL EMPLOYEES: Career Transition Assistance Plan (CTAP) is available to individuals who have special priority selection rights under this plan. Individuals must be minimally qualified for this position to receive consideration for special priority selection. CTAP eligibles will be considered minimally qualified if they meet the minimum requirements for this position.

Reasonable Accommodation: If you are an applicant who needs a reasonable accommodation for disability to participate in the application process at the SEC, submit the form for Reasonable Accommodation for Participation in Job Application Process here . Please be sure to submit your request at least 5 business days in advance of the date you need the requested accommodation.

Equal Employment Opportunity (EEO) Information for SEC Job Applicants: Federal EEO laws protect all applicants from discrimination on the following bases: race, color, sex (not limited to conduct which is sexual in nature, includes pregnancy, gender identity, sexual orientation, transgender status), age (40 and over), religion, national origin, disability, genetic information, retaliation for participating in the EEO process or opposing discrimination. Applicants who believe they have been discriminated against on any EEO basis can seek recourse through the SEC's administrative complaints process. To be timely, an individual must enter the EEO process within 45 days from when they know (or should have known) of the alleged discrimination. Click here for additional information.

TTY/ASCII: Video Relay Service users are welcome to contact the appropriate SEC office or employee via the contact information listed above. If you do not otherwise have access to a Video Phone or Video Relay service, you may send us an email or use the Federal Video Relay Service via the internet. For more information about using the Federal Relay Service and to create a new account, please see: https://www.federalrelay.us/