Clarification from the agency

This position is open to US Citizens.

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If selected, you will serve as the chief legal advisor to the Division Director and the Division, providing counsel with respect to legal and technical aspects of the administration and enforcement of the regulations under the purview of the Division, coordinating the work of officials within the Division, and working alongside officials at multiple levels outside the Division and the SEC.

Typical Duties Include:

• Advising the Director and the Division on the Securities Act of 1933, the registration, reporting, proxy and other disclosure and fraud provisions of the Securities Exchange Act of 1934, the Trust Indenture Act of 1939, the Sarbanes-Oxley Act of 2002, and certain provisions of the Dodd-Frank Act, and the rules, regulations, forms and procedures promulgated under implementing the foregoing statutes.
• Acting as legal counsel to the Division, informing the Division of interpretative positions, providing training on current issues, and promoting consistency in the Division's interpretations and application of federal securities laws.
• Overseeing the formulation and drafting of Commission rules, interpretive releases, Staff Legal Bulletins, Compliance and Disclosure Interpretations, no-action letters, and other interpretive guidance; and managing the SEC's annual shareholder proposal no-action letter review process.
• Acting as an adviser to the Disclosure Review Program and Division support offices on a range of interpretive questions and policies (including training and consulting with staff as appropriate); and interfacing with practicing attorneys, companies, and the public to explain and advance Division policies and priorities and promote public understanding of, and compliance with, the securities laws.
• Overseeing the work of Office of Chief Counsel staff members who provide legal and policy advice on Division matters, and create and implement Division policies and procedures; managing and coordinating the work of teams of attorneys and support staff in a collaborative and positive environment, and performing a full range of supervisory duties, including setting priorities and preparing schedules for completion of work; motivating performance; conducting performance evaluations; resolving issues; mentoring and training staff; and identifying development and training opportunities for employees.
• Collaborating with the Commission and staff from other Commission Divisions and Offices, and with high-ranking officials from other federal agencies and departments of government, congressional staff officials, state officials, officials from self-regulatory organizations, and executives of comparable private sector organizations.

Conditions of employment

• You must possess a J.D. or LL.B Degree.
• You must be an active member of the bar in good standing.
• CITIZENSHIP: This position is open to US Citizens.
• 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 SO-02.
• TRIAL PERIOD: This appointment may require completion of a two year supervisory/managerial 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 not in the collective bargaining unit.
• For consideration at the SO-2 level, you must currently hold a SO-2 position within the SEC.
• 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.
• All SEC employees (whether teleworking or working onsite) who are not approved for a reasonable accommodation must be fully vaccinated against COVID-19.
• For information about where to obtain a vaccine at no cost to you, please visit Vaccines.gov.

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.

• SO-01: Applicant must have four years of post J.D. work experience as a practicing attorney, three years of which includes the following:
  1. Providing legal advice regarding the application of the Securities Act of 1933, Exchange Act of 1934, and a range of securities transactions or problems; and
  2. Recommending the resolution of disclosure reporting issues.

How you will be evaluated

You will be evaluated for this job based on how well you meet the qualifications above.

Your resume and supporting documentation will be used to determine whether you meet the job qualifications listed on this announcement. If you are basically qualified for this job, your resume and supporting documentation will be compared to your responses on the Occupational Questionnaire. All applicants found to be minimally qualified will be required to provide narrative responses (500 words or less per question) regarding the executive (core) and technical qualifications. After the announcement closing date, an HR specialist will determine if you meet the minimum qualifications described in the Qualifications Section. If you do, you will receive an email asking you to respond to the core and technical qualifications listed below. You must provide your responses within the established deadline.

You will be rated on the following Competencies:

Core Qualifications:

1. Management Experience: Experience designing and implementing strategies which maximize employee potential and foster high ethical standards in meeting the organization's vision, mission, and goals.
2. Leading Change/Achieving Results: Experience developing and implementing an organizational vision which integrates key national and program goals, priorities, values, and other factors of that organization. Examples should include experience implementing change in his/her organization, exercising leadership and motivating managers to incorporate vision and strategic planning into the process.
3. Building Coalitions/Communications: Experience explaining, advocating, and expressing facts and ideas (both orally and in writing) in a convincing manner. Experience working with the press, political appointees, Congress, and other high-level organizations and staff on various types of important national issues. Experience includes working in groups and teams conducting briefings with outside groups and gaining cooperation from others to obtain information and accomplish goals.

1. Describe your knowledge and understanding of the Securities Act of 1933, the Securities and Exchange Act of 1934, the Trust Indenture Act of 1939, and the Sarbanes-Oxley Act of 2002.
2. Describe your proficiency with administrative law.
3. Describe your experience in analyzing complex problems and devising innovative solutions.