Closing Date: 23rd August, 2022


Trading and Markets establishes and maintains standards for fair, orderly, and efficient markets and regulates major securities market participants (including broker-dealers, self-regulatory organizations (also known as SROs, which include stock exchanges, FINRA and clearing agencies), security-based swap dealers, transfer agents, or other registrants). TM is organized according to subject areas, and staff work on a variety of matters within a particular office's jurisdiction

Typical Duties:
  • Assisting the Deputy Director's implementation of Division work by independently reviewing legal authorities and administrative law aspects of major Division policy products, including SEC rulemakings and self-regulatory organization proposed rule changes, to enhance the consistency of Division work, mitigate legal risk, and improve the efficiency of Commission review processes.
  • Developing and documenting processes and practices to enhance the efficiency and quality of Division work products. Providing input and feedback to the Deputy Director at all stages of Division work.
  • Supporting the Deputy Director by coordinating the Division's activities with those of other SEC Divisions and Offices, including full discussion of legal issues.
  • Advising the Deputy Director on general legal matters relevant to the Division.
  • Participate in the conception, development, planning and implementation of policies and guidelines.
  • Preparing legal documents and providing recommendations and solutions.
  • Working collaboratively with others to move the Division's work forward.

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-16.
  • 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 an optional telework posture. This position is eligible to request telework in accordance with the SEC 's telework policy.
  • This position is located in Washington, D.C. - with limited opportunities for placement in regional offices, for well-qualified selectees.

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 year(s) of post J.D. work experience independently identifying legal issues, providing legal analyses, providing legal solutions/recommendations, and preparing legal documents, such as memos, disclosures, and regulatory filings, three year(s) of which includes:
  • Interpreting and applying the provisions of the Securities Act of 1934, as well as other provisions of the Federal securities laws;
  • Providing legal advice, responding to complex and difficult questions, providing legal interpretation of statutes, and advising on implementing regulations pertaining to the Federal securities laws; and
  • Drafting and editing written work-product that analyzes complex legal issues under the Federal securities laws.

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:

Kindly refer to the following link for a detailed description of the job -