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This Position Is No Longer Available

Job Title:  Attorney-Adviser
Agency:  Securities and Exchange Commission
Job Announcement Number:  14-EX-1184757-KR

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

The contents of the announcement can still be viewed.
$134,324.00 to $221,435.00 / Per Year
Friday, August 8, 2014 to Monday, August 18, 2014
Full Time - Permanent
1 vacancy in the following location:
Washington DC, DC View Map
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).


The U.S. Securities and Exchange Commission is looking for the best and brightest to join our team. Our mission includes advocating for investors who seek to secure a future for their family, providing guidance and regulations for the nation’s securities industry in an increasingly global market, and taking action with an eye toward promoting the capital formation necessary to sustain economic growth.

A career with the Securities and Exchange Commission (SEC) offers work that is exciting, challenging and rewarding. You can contribute to securities regulation and enforcement while making a positive difference for the American investing public. The SEC provides:

  • Careers that broaden and deepen your already accomplished knowledge, skills and abilities;
  • An environment that allows you to work and learn with the nation’s experts;
  • Benefits, compensation and career expansion opportunities; and
  • A balance between your professional and family life.

To find out more about the SEC, go to

The SEC offers a number of enhanced pay and benefits plus the standard Federal benefits:

  • Paid dental and vision insurance;
  • Subsidy for health insurance, which supplements your health benefits premiums by $25 for self-only coverage and by $50 for family coverage;
  • Domestic Partner Health Insurance Reimbursement Program;
  • Mass transportation subsidy;
  • "WorkSmart" - Opportunities for flexible work schedules and expanded telework

The Office of Clearance and Settlement (OCS) in the Division of Trading and Markets (TM) is seeking to fill the position of Attorney-Adviser.  This position is located in Washington, DC.



  • Occasional Travel
  • Some travel may be required.


  • No


  • This position is open to US 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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Typical Duties Include:

  • Carrying out a wide variety of duties relating to the securities markets and certain market participants, including review and analysis of rule changes submitted by self-regulatory organizations (SROs) and work on rulemaking initiatives and special projects relating to the equity, debt, and derivatives securities markets.
  • Assisting other staff in the Division and other offices and divisions in the Commission on a wide array of matters relating to the equity, debt, and derivative markets.
  • Participating in advising on policy matters relating to the securities markets and providing technical assistance in the development and implementation of major SEC initiatives in the securities area.
  • Organizing task forces consisting of attorneys and other professionals from within the office. Designing the scope and parameters of projects; defining issues to resolve, the data required, and the parties to be consulted.
  • Performing independent analysis of legal memoranda and reports prepared by the staff; summarizing factual and legal issues involved, brief the Director, Deputy Director, and the Associate Directors with respect thereto; and presenting recommendations as to the proper course of action.



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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
  • 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 as a practicing attorney; three years of which includes: substantial legal experience with either (i) clearing agencies and the applicable statutes and rules administered by the Commission, and Commission policy and interpretations; (ii) the oversight and regulatory framework of Derivatives Clearing Organizations by the Commodity Futures Trading Commission (CFTC), including the statutes and rules administered by the CFTC, and CFTC policy and interpretations; (iii) other payment, clearing, and settlement systems, and applicable laws, rules and regulations governing their operation; or (iv) complex issues related to the Federal securities laws or Commodity Exchange Act, with particular emphasis on matters involving the oversight and supervision of the U.S. securities and derivatives markets (e.g., securities exchanges and other self-regulatory organizations) and securities and derivatives market participants.

Important Notes:

1. AREA OF CONSIDERATION: 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).

2. APPLICATION: 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.
3. VACANCIES: Supplementary vacancies may be filled in addition to the number stated in this announcement.
4. FULL PERFORMANCE LEVEL: This position has promotion potential to the SK-
5. TRIAL PERIOD: This appointment may require completion of a two-year trial period. 
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. BARGAINING UNIT: This position is in the collective bargaining unit.

Surplus or Displaced Federal Employees:  For information on how to apply through the Interagency Career Transition Assistance program (ICTAP) see exercise selection priority for this vacancy, displaced Federal employees must meet the Well Qualified criteria of the rating scale for this position.
Disability Employment: For information on disability appointments please visit:


If you meet the minimum qualifications stated in the vacancy announcement, we will compare your resume and supporting documentation to your responses on the occupational questionnaire.  Your resume must support your responses to the occupational questionnaire. After review of your application materials, if you are determined to be minimally qualified, you will be referred to the selecting official.

You will be rated on the following Knowledge, Skills, and Abilities (KSAs): 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 you being disqualified for this position.

  • Knowledge of the federal securities laws, in particular the Securities Exchange Act of 1934 and related rules, legal codes, precedents, legal practices and documents, government regulations, executive orders, agency rules, and government organization and functions.
  • Ability to produce written information, which may include technical material that is appropriate for the intended audience such as no-action, exemptive, and interpretive letters, rules, and legal memoranda. 
  • Ability to synthesize, extract, analyze, and organize legal information, data, and strategies from a variety of sources while meeting deadlines and maintaining quality. 
  • Ability to provide expert legal assistance, advice, and analysis of complex and controversial legal issues of national significance to audiences with varying levels of expertise. 

The Occupational Questionnaire will take you approximately 10 minutes to complete. To preview the Occupational Questionnaire, click the following link View Assessment Questions


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


Selective Service: If you are a male applicant born after December 31, 1959, you must certify that you have registered with the Selective Service System, or are exempt from having to do so under the Selective Service Law. See

Reasonable Accommodation Statement: The SEC provides reasonable accommodations to applicants with disabilities. If you need a reasonable accommodation for any part of the application and hiring process, send an email to  or call 202-551-4158.  To request sign language interpreting services for interviews, send an email to at least 5 business days before the date you will need this service.

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, Monday, August 18, 2014 to be considered.

Please follow the instructions listed below for submitting the resume, Occupational Questionnaire 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.
1. To begin, click Apply Online to create a USAJOBS account or log in to your existing account. Follow the prompts to select your USAJOBS resume and/or other supporting documents and complete the occupational questionnaire.
2. Click the Submit My Answers button to submit your application package.
3. To verify your application is complete, log into your USAJOBS account
,, select the Application Status link and then select the more information link for this position. Your uploaded documents may take several hours to clear the virus scan process.
4. To return to an incomplete application, log into your USAJOBS account and click Update Application in the vacancy announcement.  You must re-select your resume and/or other documents from your USAJOBS account or your application will be incomplete.

Faxing Applications or Supporting Documents:
You are encouraged to apply online.  Applying online will allow you to review and track the status of your application.
If you completed the occupational questionnaire online and are unable to upload supporting document(s):
1. Print the following cover page and provide the required information.  The Vacancy ID is 1184757.
2. Fax your documents to 1-478-757-3144.
If you cannot complete the Application Package online, you may fax all of your materials.  Keep a copy of your fax confirmation in the event verification is needed.
To complete the occupational questionnaire and submit via fax:
1. Click the following link to view and print the occupational questionnaire
View Occupational Questionnaire.
2. Print the 1203FX form, follow the instructions and provide your responses to the occupational questionnaire
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.


You must provide a complete Application Package, which includes:

  • Required: Your responses to the Occupational Questionnaire. (Online or 1203-FX)
  • Required: Your resume showing relevant duties, when the duties were performed (MM/YY), and your work schedule (FT/PT). Note: Resumes must NOT contain pictures.
  • Required, if applicable: Veteran's Documentation. 
  • If selected, you will need to submit an official transcript. 


Karla M. Ruiz
Phone: (202)551-7648
Agency Information:
Securities and Exchange Commission
100 F Street NE
Washington, DC


You will be notified of your application status through USAJOBS at four points during the hiring process, as applicable. You can check the status of your application by accessing the USAJOBS website at and clicking on “Track Your Online Application.”

By submitting your application, you are certifying the accuracy of the information contained in your application. If you make a false statement in any part of your application, you may not be hired, you may be terminated after you begin work, or you may be fined or jailed. After making a tentative job offer, we will conduct a suitability/security background investigation. You will be required to submit official documentation before appointment. The agency will then verify the information provided on your application (i.e., degree, Veterans’ documentation, certification of disability, etc.).

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