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This Position Is No Longer Available

Job Title:  Attorney-Adviser
Agency:  Securities and Exchange Commission
Job Announcement Number:  13-EX-887787-BS

This position is closed and no longer accepting online applications through USAJOBS.

The contents of the announcement can still be viewed.
$81,225.00 to $135,513.00 / Per Year
Tuesday, May 07, 2013 to Tuesday, May 21, 2013
Full Time - Excepted Service Permanent
1 vacancy in the following location:
Washington DC Metro Area, DC United States
US Citizens and Non Citizens


Do you want to perform challenging work in a collegial environment, while enjoying quality of life and a competitive compensation package? Invest in your career at the U.S. Securities and Exchange Commission (SEC)!

The SEC's mission is to protect investors, maintain fair, orderly, and efficient markets, and facilitate capital formation. The agency seeks high-caliber professionals who share the same values of integrity, fairness, accountability, resourcefulness, teamwork, and commitment to excellence.


The SEC offers a number of enhanced pay and benefits plus the standard Federal benefits: paid dental insurance and vision insurance, increased agency subsidy for health insurance which supplements your bi-weekly health benefits premiums by $25 for self-only coverage, and $50 for family coverage, telework opportunities, Domestic Partner Health Insurance Reimbursement Program.  To find out more, go to


This position is located in the Office of Administrative Law Judges located in Washington, DC.


Administrative law judges (ALJ), independent judicial officers, conduct hearings and rule on allegations of securities law violations initiated in most cases by the Commission’s Division of Enforcement. After the Commission initiates a public administrative proceeding, it refers cases to the Office of Administrative Law Judges. An ALJ then conducts public hearings at locations throughout the United States in a manner similar to non-jury trials in the federal district courts. Among other actions, ALJ issue subpoenas, rule on motions, and rule on the admissibility of evidence. At the conclusion of hearings, the parties submit proposed findings of fact and conclusions of law. The ALJ prepares an initial decision that includes factual findings and legal conclusions that are matters of public record. Parties may appeal an initial decision to the Commission, which can affirm, reverse, modify, set aside or remand for further proceedings. Appeals from Commission action are to a United States Court of Appeals.



  • This position is open to all U.S. citizens and persons lawfully admitted
  • for permanent residence and seeking citizenship as outlined in
  • 8 U.S.C. 1324b(a)(3)(B).


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Assists the ALJs in the performance of their responsibilities by conducting legal research, drafting orders and decisions, and abstracting testimony and other evidence.


Reviews and analyzes facts and develops evidence during the preparation of cases that involve difficult and involved factual situations.


Confers with and advises counsel and pro se respondents on various issues such as the status of the proceedings, settlement negotiations, postponement motions, hearing cancellations, the Rules of Practice, availability of discovery, and other procedural matters.


Oversees tracking of hearing schedules.


Contacts and directs counsel to make appropriate filings, directs support staff, prepares orders for ALJ's signature, and ensures are administrative proceedings are properly documented in the appropriate system.


Identifies major policy issues requiring consideration by senior attorneys and develops and prepares recommended interpretation outlining the facts and applicable law.


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All qualification requirements must be met by the closing date of this announcement.


Qualifying experience may be obtained in the private or public sectors. Qualifying education must have been obtained from an accredited college or university recognized by the Department of Education. Additional information on the qualification requirements is outlined in the OPM Qualifications Standards Handbook of General Schedule Positions. It is available for your review in our office, in other Federal agency personnel offices, and on OPM's web site at


Basic Requirements: Applicant must possess a J.D. or LL.B. degree and be an active member of the bar in good standing in any state, territory of the United States, the District of Columbia, or the commonwealth of Puerto Rico.


Proof of Bar membership must be submitted at the time of interview. 


Minimum Qualification Requirement: In addition to the Basic Requirements:


SK-12: Applicants must have one year of post J.D. work experience as a practicing attorney providing legal and preparing memoranda and other documents concerning procedural, policy, or legal issues; presenting, discussing, and explaining the Office's analysis of the policies, facts, and law involved in a case and arguing in support of the particular recommendation being made.


Knowledge, Skills and Abilities: Your qualifications will be further evaluated based upon the following KSAs.  You are required to complete narratives for each KSA in the occupational questionnaire portion of this announcement. Failure to respond to these narratives may result in your being disqualified for this position.


·        Knowledge of the federal statutes, rules and regulations administered by and effecting the Commission and the securities industry, including the Sarbanes-Oxley Act of 2002 and the Dodd-Frank Act.

·        Ability to identify and analyze unique and novel legal issues and statutory provisions.

·        Ability to produce concise, accurate, and persuasive memoranda, legal documents, letters and reports.

·        Ability to communicate other than in writing.


Important Notes:


1. Application procedures are specific to this vacancy announcement. Please read all the instructions carefully.  Failure to follow the instructions may result in your not being considered for this position.

2. Male applicants born after December 31, 1959, must have registered for the selective service.  For more information, visit

3. Supplementary vacancies may be filled in addition to the number stated in this announcement.

4. The full performance level of this position is SK-14.

5. This appointment may require completion of a trial period up to two years.

6. 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.

7. PERMANENT CHANGE OF STATION (PCS): Moving/Relocation expenses are not authorized.

8. DIRECT DEPOSIT: All Federal employees are required to have Federal salary payments made by direct deposit to a financial institution of their choosing.

9. This position is in the bargaining unit.

Information for veterans:  You may be eligible to receive preference in appointment.  For more information please visit:     


BASIS OF RATING: Once the announcement closes, your application will be automatically evaluated and rated by the system and a Human Resources Specialist. To determine if you are qualified for this job, a review of your application and supporting documentation will be made and compared against your responses to the occupational questionnaire. Please follow all instructions carefully. Errors or omissions may affect your rating.


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The Federal Government offers a comprehensive benefits package.  Explore the major benefits offered to most Federal employees at


The SEC provides reasonable accommodations to applicants with disabilities who request them for the application and hiring process. If you have a disability and would like to apply for non-competitive placement under Schedule and/or you need a reasonable accommodation for any part of the application and hiring process, see information and instructions on 


TTY/ASCII users should use the toll free Federal Relay Service number: 1-800-877-8339 and provide the SEC number of the office or individual you are calling. For more information about using the Federal Relay Service see:


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To be considered for this position, you must submit a complete Application Package.


All materials must be received by 11:59 p.m. EST, Tuesday, May 21, 2013 to be considered.


Please follow the instructions listed below for submitting the Occupational Questionnaire, Résumé, and Required Documents. Please read all instructions before you begin. You are solely responsible for the delivery of your materials. We cannot be responsible for incompatible software, illegible fax transmissions, etc.


To begin the process, click the Apply Online button at the bottom of this screen to create an account or log in to your existing USAJOBS account. Follow the prompts to complete the occupational questionnaire. Please ensure you click the Submit My Answers button at the end of the process.


Note: To return to a previously Saved or Incomplete application you may use the following link:

To fax supporting documents you are unable to upload, complete this cover page using the following Vacancy ID 887787.  Fax your documents to 1-478-757-3144.


If you cannot apply online:

1. Click the following link to view and print the occupational questionnaire View Occupational Questionnaire, and

2. Print this 1203FX form to provide your response to the occupational questionnaire and

3. Fax the completed 1203FX form along with any supporting documents to 1-478-757-3144. Your 1203FX will serve as a cover page for your fax transmission.


For this job announcement the following documents are required: 


·         Résumé: Must contain a detailed description of your duties, the date you performed them (MM/YY), and your work schedule

·         Responses to the Occupational Questionnaire


In addition, please submit proof of Bar membership.


Buddy E. Smallwood
Phone: (202)551-7442
Agency Information:
Securities and Exchange Commission
100 F Street NE
Washington , DC


After a review of your résumé, required documents and occupational questionnaire is complete, you will be notified of your rating and or referral to the hiring official. If further evaluation or interviews are required, you will be contacted.

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