Washington, D.C
Sep 19, 2020
Sep 23, 2020
Full Time


The Legal Policy 1 Group in the Office of the General Counsel provides legal and policy advice to the Commission, individual Commissioners, and the divisions and offices concerning securities laws, administrative laws, and other applicable laws. In particular, the Legal Policy 1 Group analyzes regulatory recommendations to the Commission, primarily from the Divisions of Investment Management and Trading and Markets, and provides assistance on legislative matters.
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This position serves as the Associate General Counsel for the group.

Typical Duties Include:
  • Serving as a member of OGC's senior leadership team.
  • Advising on the Commission's consideration of matters that are of the highest level of complexity and confidentiality, involving precedent-setting legal issues, and that have a significant impact on the administration of the securities laws.
  • Managing workload and advising the Commission on and preparing written analyses of complex legal and policy matters in regulatory initiatives and legislation.
  • Advising the Commission on matters presented by Divisions and Offices for formal Commission action, with particular emphasis on matters involving oversight of the U.S. securities markets (e.g., exchanges and other self-regulatory organizations) and market participants (e.g., broker dealers), the regulation of novel products, investment adviser and mutual fund regulation, and analysis and implementation of legislation affecting the securities and financial markets.
  • Reviewing and analyzing proposals for rules and regulations drafted by other offices or divisions of the Commission, particularly from the Divisions of Investment Management and Trading and Markets.
  • Providing legal advisory services to the General Counsel, the Commission and the operating divisions and senior management staff on issues arising in such matters.
  • Planning and managing broad, emerging, and/or critical agency programs or operations, including monitoring to ensure that specific goals and objectives are achieved and producing high quality results in expeditious time frames.
  • Supervising the work of attorneys and intermediate supervisors on legal responses to developing policy and regulatory trends resulting from judicial decisions and economic developments in the securities and financial markets.
  • Providing administrative and technical supervision to 20 staff, including attorneys and professional administrative staff, necessary to accomplish the work.
  • Performing supervisory duties, such as performance management, training, awards, and recruitment, and keeping employees informed regarding policies, procedures, and goals of the Commission as they relate to their work on assigned projects.
  • Managing and directing attorneys within the office and is responsible for planning, organizing and supervising work production to meet deadlines and maintain quality. Determining operational priorities and adjust staff assignments to ensure compliance with established deadlines.
  • Designing approaches for dealing with complex legal issues arising in connection with recommended Commission actions.
  • Planning, organizing, and carrying out projects independently, while keeping supervisors apprised of the status of those projects and major problems encountered.
  • Establishing and maintaining close cooperative working relationships with the Commission's management and officials, government agencies, and other institutions with related interests, in order to advance the programs and objectives of SEC.
  • Providing advice, including in the form of written legal memoranda, on novel legal questions and responding to substantive questions concerning the Investment Advisers Act of 1940, the Investment Company Act of 1940, the Securities Exchange Act of 1934, and other areas of law, such as administrative law.
  • Advising on extremely complex and difficult matters. Interpreting regulations, orders, and legislation; providing authoritative advice and assistance to other attorneys whose work has broad legal implications and may require anticipation of the development of law in order to formulate policy alternatives; and analyzing the legal aspects of such alternatives, consistent with the development of law.

Travel Required

Not required

Supervisory status

Promotion Potential


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 SO-02.
  • TRIAL PERIOD: This appointment may require completion of a two year supervisory/managerial 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.


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 (Note: Official Transcripts will be required before entry on duty.) --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: the applicant must have at least four years of post J.D. work experience as a practicing attorney that also includes at least three years:
  • Applying federal securities laws with particular emphasis on matters involving the Securities Act of 1934, and/or the Investment Advisers Act of 1940 and the Investment Company Act of 1940, and providing legal advice and analysis of complex issues relating to these statutes and regulations thereunder.
  • Providing a range of legal advisory services, including producing legal memoranda and providing oral presentations, on questions of law to heads of agencies and/or private sector firms involving the federal securities laws and administrative laws.
  • Experience involving the federal rulemaking process and applicable administrative laws.
  • Negotiating legal and policy issues with senior level officials.
  • Managing a diverse workload in a high pressure environment, and supervising, leading or providing guidance and direction to subordinate staff on complex securities law questions are desirable.

  • 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:

    Official Transcripts will be required at the time of appointment to verify educational eligibility.

    Additional information

    Disability Employment: For information on disability appointments, please visit

    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:

    SEC COMPENSATION PROGRAM: For questions regarding SEC pay setting practices, please click here .

    How You Will Be Evaluated

    You will be evaluated for this job based on how well you meet the qualifications above.

    If you meet the minimum qualifications stated in the vacancy announcement, we will compare your resume and supporting documentation to your responses on the occupational questionnaire. Your resume must support your responses to the occupational questionnaire. After review of your application materials, if you are determined to be minimally qualified, you will be referred to the selecting official.

    Applicants will be evaluated on the following competencies:
    Core Qualifications:
  • Management Experience: Experience designing and implementing strategies which maximize employee potential and foster high ethical standards in meeting the organization's vision, mission, and goals.
  • Leading Change/Achieving Results: Experience developing and implementing an organizational vision which integrates key national and program goals, priorities, values, and other factors of that organization. Examples should include experience implementing change in his/her organization, exercising leadership and motivating managers to incorporate vision and strategic planning into the process.
  • Building Coalitions/Communications: Experience explaining, advocating, and expressing facts and ideas (both orally and in writing) in a convincing manner. Work environment may be experience working with the press, political appointees, Congress, and other high-level organizations and staff on various types of important national issues. Experience includes working in groups and teams conducting briefings with outside groups and gaining cooperation from others to obtain information and accomplish goals.
  • Technical Qualifications:
  • Describe your experience assessing and recommending projects to optimize the agency's operating processes and effectiveness in meeting its mission goals.
  • Describe your experience interpreting and applying federal statutes, rules and regulations, including administrative law statutes, as pertains to complex legal and policy issues that arise in rulemaking.
  • The Occupational Questionnaire will take you approximately 10 minutes to complete. To preview the Occupational Questionnaire, click the following link

    Background checks and security clearance

    Security clearance

    Drug test required

    Position sensitivity and risk
    High Risk (HR)

    Trust determination process

    Required Documents

    You must provide a complete Application Package, which includes:
    • Required: Your responses to the Occupational Questionnaire.
    • Required: Your complete and comprehensive resume that includes a complete history of your work experience and the applicable employment dates with months and years. To determine if you qualify for this position, OHR will review your work history that is relevant to the specific position for which you applied. Note: Your resume must directly address the definition of specialized experience listed in the qualification section of this announcement and must NOT contain pictures.
    • Required: Current SEC Employees, you must submit a copy of your most recent Notification of Personnel Action, Standard Form 50 (SF-50).

    If you are relying on your education to meet qualification requirements:

    Education must be accredited by an accrediting institution recognized by the U.S. Department of Education in order for it to be credited towards qualifications. Therefore, provide only the attendance and/or degrees from schools accredited by accrediting institutions recognized by the U.S. Department of Education .

    Failure to provide all of the required information as stated in this vacancy announcement may result in an ineligible rating or may affect the overall rating.

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