Washington, D.C
Jan 13, 2022
Jan 20, 2022
Executive, Chief
Full Time

If selected, you will serve as the chief legal advisor to the Division Director and the Division, providing counsel with respect to legal and technical aspects of the administration and enforcement of the regulations under the purview of the Division, coordinating the work of officials within the Division, and working alongside officials at multiple levels outside the Division and the SEC.

Typical Duties Include :
  • Advising the Director and the Division on the Securities Act of 1933, the registration, reporting, proxy and other disclosure and fraud provisions of the Securities Exchange Act of 1934, the Trust Indenture Act of 1939, the Sarbanes-Oxley Act of 2002, and certain provisions of the Dodd-Frank Act, and the rules, regulations, forms and procedures promulgated under implementing the foregoing statutes.
  • Acting as legal counsel to the Division, informing the Division of interpretative positions, providing training on current issues, and promoting consistency in the Division's interpretations and application of federal securities laws.
  • Overseeing the formulation and drafting of Commission rules, interpretive releases, Staff Legal Bulletins, Compliance and Disclosure Interpretations, no-action letters, and other interpretive guidance; and managing the SEC's annual shareholder proposal no-action letter review process.
  • Acting as an adviser to the Disclosure Review Program and Division support offices on a range of interpretive questions and policies (including training and consulting with staff as appropriate); and interfacing with practicing attorneys, companies, and the public to explain and advance Division policies and priorities and promote public understanding of, and compliance with, the securities laws.
  • Overseeing the work of Office of Chief Counsel staff members who provide legal and policy advice on Division matters, and create and implement Division policies and procedures; managing and coordinating the work of teams of attorneys and support staff in a collaborative and positive environment, and performing a full range of supervisory duties, including setting priorities and preparing schedules for completion of work; motivating performance; conducting performance evaluations; resolving issues; mentoring and training staff; and identifying development and training opportunities for employees.
  • Collaborating with the Commission and staff from other Commission Divisions and Offices, and with high-ranking officials from other federal agencies and departments of government, congressional staff officials, state officials, officials from self-regulatory organizations, and executives of comparable private sector organizations.


Conditions of Employment

  • You must possess a J.D. or LL.B Degree.
  • You must be an active member of the bar in good standing.
  • CITIZENSHIP: This position is open to US Citizens.
  • 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.
  • For consideration at the SO-2 level, you must currently hold a SO-2 position within the SEC.
  • Due to COVID-19, the SEC is currently in an optional telework posture. This position is eligible to request telework in accordance with the SEC 's telework policy.
  • All SEC employees (whether teleworking or working onsite) who are not approved for a reasonable accommodation must be fully vaccinated against COVID-19.
  • For information about where to obtain a vaccine at no cost to you, please visit


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.
    SO-01: Applicant must have four years of post J.D. work experience as a practicing attorney, three years of which includes the following:
  • Providing legal advice regarding the application of the Securities Act of 1933, Exchange Act of 1934, and a range of securities transactions or problems; and
  • Recommending the resolution of disclosure reporting issues.


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

SEC COMPENSATION PROGRAM: The overall salary range listed above is provided for informational purposes as it represents the full range that is applicable to current employees in this occupation/grade; however, a selectee's initial pay is always set below the maximum rate of the range. Please click here for additional information.

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. 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 .

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: