ATTORNEY-ADVISER

Employer
USAJobs
Location
Washington, D.C
Posted
Oct 20, 2021
Closes
Oct 27, 2021
Hours
Full Time
Duties

Summary

The Office of Investment Advisers and Investment Companies (IA/IC) within the Division of Examinations is filling a position for a Attorney-Adviser, SK-0905-12 or 13 in Washington, DC.
Learn more about this agency

Responsibilities

The Division of Examinations conducts the SEC's National Exam Program. The Division's mission is to protect investors, ensure market integrity and support responsible capital formation through risk-focused strategies that: (1) improve compliance; (2) prevent fraud; (3) monitor risk; and (4) inform policy. The results of the Division's examinations are used by the SEC to inform rule-making initiatives, identify and monitor risks, improve industry practices and pursue misconduct.

If selected, you will join a well-respected team that is responsible for supporting EXAMS' mission to conduct and coordinate the nationwide examination program for entities over which the Commission has regulatory authority.

As a Attorney-Adviser you will:
  • Participate in and providing technical assistance and support to examination or inspection activities for investment advisers and investment companies;
  • Work as a member of a team with other staff members engaged in conducting examinations; responding to trends in the market; identifying areas of the market that merit special attention; and developing new inspection/examination procedures and processes;
  • Conduct research, reviews and analysis of a variety of documents related to compliance; conducting reviews of customer trading and securities holdings; reviewing firm marketing; and developing recommendations to resolve problems in assigned areas of specialization.
  • Prepare reports, correspondence, memoranda and other documents summarizing reviews, research and analysis related to registered entities' compliance with the federal securities laws; and
  • Initiate and conduct consultations with staff of the Division of Examinations and other SEC divisions and offices on issues which present difficult questions of fact and law or policy that require review and consultation before being presented for final action.


Travel Required

Occasional travel - Travel averages 5 days a month.

Supervisory status
No

Promotion Potential
14

Requirements

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 SK-14
  • 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 in the collective bargaining unit.
  • Due to COVID-19, the SEC is currently in a mandatory telework posture. This position is eligible to request telework in accordance with the SEC 's telework policy.
  • Typical Examiner Travel: Examination staff routinely travel to the offices of registered entities to conduct on-site inspections of facilities, to meet with and interview entity personnel, and to examine certain business records.
  • All SEC employees (whether teleworking or working onsite) who are not approved for a reasonable accommodation must be fully vaccinated against COVID-19 by no later than Nov. 22, 2021.
  • For information about where to obtain a vaccine at no cost to you, please visit Vaccines.gov.


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-12: Applicant must have one year of post-J.D. experience defining legal issues, conducting legal research, drafting legal documents such as contracts, dispositions, pleadings, and motions OR one of the following below:
  • A second professional law degree (Master of Law/LL.M.);
  • Membership on a law school's journal or law review;
  • Membership in the Order of the Coif;
  • Graduation in the top 33 percent of law school class;
  • One year of significant non-legal work experience in a field related to the position for which the applicant is being considered (e.g., work experience with FINRA or other financial regulatory authority, or other work experience directly applicable to the work of the position for which the attorney is being hired);
  • A judicial clerkship following law school graduation; or
  • Law Clerk and Legal Intern Appointments
SK-13: Applicant must have at least two years of post-J.D experience identifying legal issues, conducting legal research, providing legal analyses, providing legal solutions/recommendations, and preparing legal documents, such as contracts, dispositions, pleadings, and motions, which also includes at least one year of specialized experience:
  • Providing interpretative advice and guidance on matters related to Federal securities laws, regulations, and policies; and
  • Conducting briefings for management and/or representing the organization at briefings, meetings or conferences, conveying complex and technical information to address the concerns of the intended audience.


  • 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

    Salary Ranges:
    • Washington, DC:
      • SK-12: $95,470 - $161,756
      • SK-13: $113,533 - $192,347
    SECURITIES AND EXCHANGE COMMISSION (SEC) VACCINATION REQUIREMENT: In accordance with Executive Order 14043 (Requiring Coronavirus Disease 2019 Vaccination for Federal Employees) and to protect the health and safety of the federal workforce, all SEC employees (whether teleworking or working onsite) must be fully vaccinated against COVID-19 no later than Nov. 22, 2021. If selected for this position, you will be asked to attest to your current vaccination status and provide a copy of the documentation to support your vaccination status. Additionally, if selected, you may request an exemption from the mandatory vaccination due to a qualifying disability or medical condition, or a sincerely held religious belief, practice or observance. If you have additional questions pertaining to the SEC's vaccination policy, email askHR at askHR@sec.gov .

    Disability Employment: For information on disability appointments, please visit http://www.opm.gov/policy-data-oversight/disability-employment/

    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/

    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:
    Legal Guidance, Securities Laws and Compliance Guidance, and Technical Communication

    The Occupational Questionnaire will take you approximately 10 minutes to complete. To preview the Occupational Questionnaire, click the following link https://apply.usastaffing.gov/ViewQuestionnaire/11218600

    Background checks and security clearance

    Security clearance
    Other

    Drug test required
    No

    Position sensitivity and risk
    High Risk (HR)

    Trust determination process
    Suitability/Fitness

    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. For external candidates: Information on how your resume will be used for pay setting purposes can be found here .
    • Required, if applicable: Veteran's documentation (DD-214, member 4 copy or other documentation containing dates of service and character of discharge.)
    • Required, if applicable: CTAP documentation (a copy of a separation notice or other proof of eligibility for priority selection; a copy of an SF-50, Notification of Personnel Action, showing current position, grade, promotion potential, and duty location; AND a copy of your most recent performance appraisal.)


    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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