ATTORNEY - ADVISER

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.

Duties

This position will work on a range of broker-dealer status as well as other regulatory issues affecting market intermediaries, including issues related to the application of the federal securities laws to the crypto asset market and other novel activities, products, and technologies. The work may involve SEC rulemakings, SRO rule filings, providing advice to senior management and other offices, and representing the agency in discussions with external parties. The successful applicant will display a high level of initiative and commitment towards completing assignments in a timely manner and will be independently motivated to achieve results.

Typical duties include:

• Carry out a wide variety of duties relating to market intermediaries, such as brokers, dealers, and funding portals, including leading projects such as rulemaking initiatives and special projects, reviewing and analyzing rule changes submitted by SROs, and exemptive and no-action requests. Leading projects may include significant drafting responsibilities.
• Assist the Director, Deputy Director, Chief Counsel and other staff within and outside the Division on a wide array of legal, policy and administrative issues relating to market intermediaries.
• Participate in advising on policy matters relating to market intermediaries and providing assistance (including leading projects involving inter-divisional teams) in the development and implementation of Commission or staff initiatives.
• Review legal memoranda, reports and other drafts prepared by the staff related to various legal and policy issues; brief the Director, Deputy Director, and Chief Counsel with respect thereto; and present recommendations regarding possible action.
• Review and provide advice regarding enforcement recommendations, as well as provide advice and assistance to other Division and Commission staff whose work has broad legal and policy implications and may require formulating policy alternatives, and analyze the legal aspects of such alternatives.

Salary

• $173,127 - $289,400/year

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 and may be filled from any division or office within the agency.
• This position has promotion potential to the SK-16.
• Consistent with 5 U.S.C. § 7511, you will be required to serve a two-year trial period (one year for preference eligible veterans) if the position to which you have applied is not the same or similar to your current position of record.
• 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 NTEU Chapter 293.

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-16: Applicant must have four (4) 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 three (3) years of:

1. Interpreting and applying the provisions of the laws, rules, and regulations that govern the securitiesindustry, in particular, the Securities Exchange Act of 1934; AND
2. Providing guidance and expertise in the evaluation of legal and policy issues, addressing and analyzing securities law issues that lack clearly applicable precedents due to the novelty of the factual and legal issues involved; AND
3. Explaining the application of legal principles and precedents, and developing and justifying recommendations or conclusions.

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 Other 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. 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 10% 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. If your selection results in a change in grade from an SK-15 to an SK-16 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.
• 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.)

How to Apply

To apply for this position, you must complete the online application and submit the documentation specified in the Required Documents section below.

A complete application package must be submitted by 11:59 PM (EST) on the closing date of the announcement to receive consideration.

• To begin, click Apply to access the online application. You will need to be logged into your USAJOBS account to apply. If you do not have a USAJOBS account, you will need to create one before beginning the application.
• Follow the prompts to select your resume and/or other supporting documents to be included with your application package. You will have the opportunity to upload additional documents to include in your application before it is submitted. Your uploaded documents may take several hours to clear the virus scan process.
• After acknowledging you have reviewed your application package, complete the Include Personal Information section as you deem appropriate and click to continue with the application process.
• You will be taken to the online application which you must complete in order to apply for the position. Complete the online application, verify the required documentation is included with your application package, and submit the application.

To verify the status of your application, log into your USAJOBS account (https://my.usajobs.gov/Account/Login), all of your applications will appear on the Welcome screen. The Application Status will appear along with the date your application was last updated. For information on what each Application Status means, visit: https://www.usajobs.gov/Help/how-to/application/status/.