Supervisory Attorney Adviser

Washington, D.C
Jun 06, 2021
Jun 12, 2021
Full Time


The Division of Enforcement investigates possible violations of securities laws, recommends Commission action when appropriate, either in a federal court or before an administrative law judge, and negotiates settlements.

Learn more about this agency


The Office of Market Intelligence (OMI) is responsible for a variety of intelligence, data and technology programs and activities to identify fraud, misconduct, market practices and other activities that constitute securities law violations and pose potential risks to investors. OMI intakes, analyzes, and evaluates thousands of tips, complaints, and referrals (TCRs) and other reports, information, data, and intelligence that the SEC receives each year, and develops, evaluates, and refers them to agency staff for potential investigation, examination, or other response.

If selected, you will serve as a Supervisory Attorney Adviser (Branch Chief) in the Enforcement Division's Office of Market Intelligence (OMI) reporting to and working under the general direction of an OMI Assistant Director. You will manage and oversee the intake, initial early stage triage, and operational functions of the Tips, Complaints and Referrals (TCR) Program.

Typical duties and responsibilities include:
  • Supervises, manages, and monitors the activities and functions of a team of professional staff and contractors who intake, enter, process, review, assign, and perform the initial stages of triage on tips, complaints, and referrals (TCRs) and other information on a broad range of securities topics and products.
  • Plans and assigns work; proactively identifies, makes decisions and implements solutions to resolve work problems and issues; and organizes and monitors assignments and the flow and performance of work to achieve the most effective and efficient results within a high volume, fast paced and dynamic environment.
  • Oversees and ensures the timely and appropriate review, assignment, and disposition of TCRs and other information and related analysis, findings, and recommendations. Identifies urgent or priority matters for escalation or expedited handling and assignment and assesses and resolves complex, novel, and specialized issues.
  • Applies knowledge of legal concepts and securities laws and products to facts, information, and data in order to (1) assess issues such as jurisdiction, legal privilege, statute of limitations, potential legal and regulatory violations, and division and office mission, resources and priorities, (2) provide training, guidance, and direction to staff and contractors on TCR handling, analysis, and disposition, and (3) make appropriate recommendations and decisions regarding the handling, processing, disposition, and assignment of TCRs and other information.
  • Reviews legal and factual analysis and confirms decisions or recommendations to take no further action (NFA) on TCRs and other intelligence that encompass a broad range of securities topics and products and/or to refer them based on certain criteria.
  • Analyzes information to identify relationships, risks, trends, and developments; integrates and synthesizes multiple sources of facts, intelligence, or data to reach and communicate reasonable findings and conclusions.
  • Develops, implements, improves, and maintains program and office operations, knowledge management, initiatives, policies, processes and protocols, guidance, and plans.
  • Communicates and coordinates with other agencies and external parties; manages external referral and information sharing processes and protocols; and coordinates or participates in internal and external task forces, initiatives, and other committees.
  • Responds to inquiries and requests from internal stakeholders relating to program or office matters (including legal, policy, and procedural questions); provides guidance, training, and feedback; and supports communications, reporting, oversight and risk management activities.
  • Develops and implements requirements or produces reports, dashboards and other products for information sharing, trend analysis, program, operational and risk management, and intelligence.
  • Carries out supervisory duties, such as performance management, training and mentoring, workload tracking and monitoring, office and personnel development, awards, recruitment, and informs employees of policies, procedures, and goals as they relate to their work on assigned projects.

Travel Required

Not required

Supervisory status

Promotion Potential


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 SEC 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 mandatory telework posture through September 7, 2021. If selected, you will be permitted to temporarily telework from a location outside the local commuting area.
  • Once employees are permitted to return to the office, you will be expected to report to the duty station listed on this announcement within 60 days. At that time, you will be eligible to request telework in accordance with the SEC 's telework policy


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: At least three years post-J.D experience independently identifying legal issues, providing legal analyses, providing legal solutions/recommendations, and preparing legal documents, such as contracts, dispositions, pleadings, and motions, which also includes at least two years researching and analyzing complex legal and/or factual issues or conducting investigations, litigation, or examinations.


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:

Additional information

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:

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 :
Interpersonal Skills, Leadership, Legal, Government and Jurisprudence, Oral Communication, Technical Competence, and Written Communication

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
Not Required

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. If you are an external candidate selected for this position, OHR will review your complete work history to establish your starting salary. If you are a current SEC employee selected for this position, the standard percentage increases will be applied (i.e., 6% for non-supervisory and 8% for supervisory positions) if your selection results in a promotion. If your selection results in lateral movement (i.e. no change in grade) you will maintain your current salary. Note: Your resume must directly address the definition of specialized experience listed in the qualification section of this announcement and must NOT contain pictures.

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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