Senior Attorney - Office of Legal Counsel

In this role as a Senior Attorney - Office of Legal Counsel, you will be responsible for:

• Carrying out a wide variety of duties relating to market intermediaries, including leading projects such as rulemaking initiatives and special projects, as well as reviewing draft rulemakings from other federal agencies. Leading projects may include significant drafting and editing responsibilities.
• Reviewing and analyzing notices for public comment and, as applicable, drafts orders related to SRO proposed rule change filings pertaining to, among other things, SRO rules governing continuing education, disciplinary procedures, statutory disqualification, and fingerprinting plans; and reviewing exemptive and no-action requests.
• Reviewing and responding, as appropriate, to Rule 19h-1 filings submitted by the various SROs and Commission Rule of Practice 194 filings (both applications and notices submitted in lieu of an application).
• Coordinating the Division's response to questions from the public that are received through TM's email address and telephone line seeking, among other things, interpretation, guidance and other general assistance from TM staff.
• Coordinating the efforts of others across TM in responding to, among other things, draft memoranda of understanding with other regulators, Freedom of Information Act requests, Paperwork Reduction Act renewals, and initiatives involving international securities regulators and related organizations.
• Interpreting and serving as a resource within TM on the definition of "securities" under the Exchange Act, various cyber-related initiatives, and for Regulations S-ID, S-AM, and S-P.
• Reviewing and providing 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.

Requirements:
Conditions of Employment:

• Citizenship: You must be a US citizen.
• Selective Service: Males born after 12/31/59 must be registered or exempt from Selective Service (see https://www.sss.gov/).
• 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.
• Trial Period: 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.
• You must possess a J.D. or LL.B Degree and you must be an active member of the bar in good standing.
• The selectee is required to report to the duty station(s) listed.

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-16: Applicant must have four 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, pleadings, and motions, which also includes at least three years of either:

• Interpreting, Interpreting, applying, and explaining the provisions of the laws, rules, and regulations that govern the securities industry, in particular, the Securities Exchange Act of 1934, and related self-regulatory organization rules; OR
• Developing and justifying recommendations or conclusions related to federal, state, or local law regarding financial institutions, including experience gained through relevant litigation or enforcement activities, or similar experience in an area such as banking, commodities, or corporate.

Accomplishment Record Competencies: Your Accomplishment Record narratives should address the following competencies. See the How You Will Be Evaluated section below for more information:

• Competency 1: Rule Development: Prepares recommendations for rules that meet desired policy objectives within the Commission's statutory authority or that implement legislation.
• Competency 2: Legal and Regulatory Analysis: Conducts analysis and prepares documents and reports in compliance with Federal law that governs the rulemaking process.
• Competency 3: Teamwork and Collaboration: Interacts with internal and external others in a manner that advances SEC goals and objectives.
• Competency 4: Critical Thinking: Considers a variety of factors, general and subject matter-specific, when making decisions and determining next steps in a case.

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. (https://www.ed.gov/about/initiatives/international-affairs/recognition-of-foreign-qualifications)

Applicants may also find the following helpful:
National Association of Credential Evaluation Services (NACES) (http://www.naces.org/) is an association of 19 credential evaluation services with admission standards and an enforced code of good practice.

Association of International Credentials Evaluators (AICE) (http://www.naces.org/) 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 informati

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