Summary The Division of Trading and Markets (TM) establishes and maintains standards for fair, orderly, and efficient markets and regulates major securities market participants (broker-dealers, self-regulatory organizations (also known as SROs, which include securities exchanges, FINRA, and clearing agencies), security based swap dealers, transfer agents, or other registrants). TM is organized according to subject areas, and Attorney-Advisers work on a variety of matters under an office's jurisdiction. Responsibilities If selected, you will join a well-respected team that is responsible for: Working knowledge of the broker-dealer financial responsibility rules (as defined in the Securities Exchange Act of 1934). Developing and preparing guidance and facilitating action on complex legal and policy issues arising from the interpretation and application of the federal securities laws in general and the broker-dealer financial responsibility rules in particular. Reviewing, analyzing, and interpreting new legislative initiatives, Congressional mandates, Commission or Court decisions, actions taken by other regulators, and other events that may affect the securities markets. Participating in the development and implementation of regulatory initiatives, including Commission rulemaking, exemptive requests, interpretive guidance, staff studies, and other Commission or staff initiatives. Assisting and providing support and advice regarding TM's oversight of broker-dealers. Consulting and coordinating with other regulators, SROs, broker-dealers, transfer agents, and other financial market participants, as well as other staff in the Commission and TM as necessary and appropriate to complete assignments. Requirements Conditions of Employment 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-14: Applicant must have three (3) years of post J.D. experience identifying legal issues, providing legal analyses, providing legal solutions/recommendations, and preparing legal documents, such as filings, memoranda, contracts, dispositions, pleadings, and motions, which also includes at least two (2) years of: Interpreting, applying, and explaining the provision of the laws, rules, and regulations that govern the securities industry in general, in particular, the Securities Exchange Act of 1934; AND Collaboration on the evaluation of legal and policy issues, addressing securities law, analyzing and explaining the application of legal principles and precedents, and collaborated on developing and justifying recommendations or conclusions as it pertains to securities law. 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 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. 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 to participate in the SEC application process due to a medical disability, please contact reasonableaccommodation@sec.gov. For religious-based accommodations, please contact religiousaccommodation@sec.gov . 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, religion, sex, pregnancy, national origin, political affiliation, sexual orientation, marital status, disability, genetic information, age, membership in an employee organization, retaliation, parental status, military service or other non-merit factor. 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. The Fair Chance Act prohibits specific inquiries concerning an applicant's criminal or credit background unless the hiring agency has made a conditional offer of employment to the applicant. An applicant may submit a complaint, or any other information, to the agency within 30 calendar days of the date of alleged non-compliance by contacting the Legal and Policy Office in the Office of Human Resources at ElliottT@sec.gov.
