Summary The Division of Enforcement is seeking a General Attorney (Core General Attorney) with optional selection into the Complex Financial Instruments Unit (CFI) or the Asset Management Unit (AMU). As a Core General Attorney, you will conduct complex investigations being undertaken by the SEC. Responsibilities In this role as a Core General Attorney, you will be responsible for: Developing investigative or litigation plans and adjusting as appropriate during the course of an investigation. Drafting subpoenas and other requests for documents, questions witnesses through interviews, testimony, or depositions, evaluating documentary or testimonial evidence to demonstrate whether sufficient evidence exists to prove violations of federal securities laws, and preparing litigation-related documents. Providing management with advice and work products exhibiting knowledge, insight, and understanding of relevant law and facts. Using sound judgment to determine the quality, accuracy and relevance of information or data, analyzing information to identify relationships and trends, and integrating and synthesizing facts to reach reasonable conclusions. Communicating with agency officials at all levels, including supervisors, coworkers, staff in courts and private industry, and other agencies. Organizing work, setting priorities, and determining short- or long-term goals and strategies to achieve them. Developing innovative solutions to address issues and problems or involving novel or unexplored questions of law or policy. May participate in all aspects of litigation in federal court and administrative proceedings. In addition to the core duties, if selected for a specialized Unit (CFI or AMU) you will also be responsible for: Complex Financial Instruments Unit (CFI) The CFI focus is the proactive identification and investigation of securities law violations arising from the creation, rating, sale, usage, and valuation of complex financial instruments, including security-based swaps, mortgage-backed and asset-backed securities, and structured and exchange-traded products, as well as derivatives and other complex products and trading practices. CFIU monitors new, novel, and developing product areas and focuses on cases, initiatives, and resolutions that have a high impact on market and industry practices. Asset Management Unit (AMU) The AMU uses its specialized knowledge to develop proactive, non-traditional investigative approaches, and to identify emerging risk areas. Conducting complex investigations being undertaken by the SEC involving asset managers. Develops investigative or litigation plans and adjusts as appropriate during the course of an investigation. Requirements Conditions of Employment Qualifications Applicants are responsible for confirming all required materials are submitted by the closing date of the announcement. Please check the How You Will Be Evaluated and Required Documents sections carefully, as missing documents will render the application incomplete and ineligible for review. 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. All qualification requirements must be met by the closing date of this announcement. 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 3 year(s) 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, 2 year(s) of which includes: Applying Federal securities laws, rules and regulations. Conducting investigations or civil cases or administrative proceedings. ACCOMPLISHMENT RECORD COMPETENCIES: Your Accomplishment Record narratives should address the following competencies. See the How You Will Be Evaluated section below for more information: Legal Analysis - Utilizes expert legal knowledge to apply relevant law to the facts of each case. Critical Thinking - Considers a variety of factors, general and subject matter-specific, when making decisions and determining next steps in a case. Development and Use of Record - Strategically collects, analyzes, and organizes an evidentiary record. Case Management - Manages cases efficiently using best practices. Education You MUST provide transcripts or other documentation to support your educational claims. Unless otherwise stated: (1) official or unofficial transcripts are acceptable, or (2) you may submit a list with all your courses, grades, semester, year, and credit for the course. If you are qualifying for this position by substituting education or training for experience, you must submit a copy of your unofficial transcripts or equivalent by the closing date of the announcement. Qualifying education must have been obtained from an accredited college or university recognized by the U.S. Department of Education. Internal Applicants: OHR will verify education qualifications for internal applicants using documents in the Electronic Official Personnel Folder (eOPF). If required transcripts or certificates are not present in your eOPF, you will be required to provide them to OHR. If selected, a start date will not be established until official transcripts are received. 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. For more information, click here. Applicants may also find the following helpful: National Association of Credential Evaluation Services (NACES) is an association of 19 credential evaluation services with admission standards and an enforced code of good practice. Association of International Credentials Evaluators (AICE) is an association of 10 credential evaluation services with a board of advisors and an enforced code of ethics. Additional Information Supplementary vacancies may be filled in addition to the number stated in this announcement and may be filled from any division or office within the agency. SEC COMPENSATION PROGRAM: Total salary (base pay + locality) is dependent upon duty location. The overall salary range listed above is provided for informational purposes; a selectee's initial pay will be established below the maximum rate of the range. The pay for current SEC employees will be determined according to the procedures specified in the agency's policy. Please click here for a compensation overview. Disability Employment: For information on disability appointments, click here. 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: For more information, please click here. 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.
