The Division of Trading and Markets (TM), Office of Market Supervision (OMS) is seeking applicants to fill their Attorney - Securities Market Structure Rulemaking and Rule Filing Review (Attorney-Adviser) positions. The successful applicant will have strong research and writing skills and be interested in learning about the securities markets while working to strengthen our national market system and protect investors.
Summary
The Division of Trading and Markets (TM), Office of Market Supervision (OMS) is seeking applicants to fill their Attorney - Securities Market Structure Rulemaking and Rule Filing Review (Attorney-Adviser) positions. The successful applicant will have strong research and writing skills and be interested in learning about the securities markets while working to strengthen our national market system and protect investors.
In this role as a Attorney - Securities Market Structure Rulemaking and Rule Filing Review, you will be responsible for:
Working in a matrixed organizational structure (like a law firm) with a variety of supervisors and colleagues in reviewing, researching, and recommending action on registration filings and proposed rule changes from self-regulatory organizations (including stock, options, and security futures exchanges) and other market venues (including alternative trading systems and security-based swap execution facilities); drafting and editing internal and external documents and releases; communicating with external market participants and briefing senior staff on those matters.
Participating in the development and implementation of regulatory initiatives, including Commission rulemaking, and other Commission or staff initiatives implicating the Securities Exchange Act of 1934 ("Exchange Act") and related statutes, rules, or regulations.
Researching, interpreting, and developing guidance or legal positions on, and facilitating action on complex legal and policy issues arising from the interpretation and application of, self-regulatory organization rules and the federal securities laws and the rules and regulations promulgated thereunder, including in emerging areas such as blockchain, crypto assets, and tokenized securities.
Reviewing, analyzing, and interpreting new legislative initiatives, Congressional mandates, Commission or court decisions, actions taken by other regulators, and other events that may affect the securities markets and that implicate various sections of the Exchange Act.
Consulting and coordinating with self-regulatory organizations, broker-dealers, and other financial market participants, as well as other staff in TM and across the Commission to complete assignments.
CITIZENSHIP: This position is open to US Citizens.
SELECTIVE SERVICE: Males born after 12/31/59 must be registered or exempt from Selective Service (see https://www.sss.gov/).
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.
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.
You must possess a J.D. or LL.B Degree.
You must be an active member of the bar in good standing.
Qualifications
Applicants are responsible for confirming all required materials are submitted by the closing date of the announcement. Please check the HowYou 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-14: In addition to the Basic Requirements, the applicant must have three 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 two years of either:
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, the Securities Act of 1933, the Investment Company Act of 1940, and/or the Investment Advisers Act of 1940 and related self-regulatory organization rules; OR
Developing and justifying recommendations or conclusions related to federal, state, or local law, including experience gained through regulatory or litigation practice in areas such as financial and securities law, corporate, tax, derivatives, commodities, fixed income, trusts, consumer protection, banking, or other areas relevant to trading venues and market participants.
ACCOMPLISHMENT RECORD COMPETENCIES: Your Accomplishment Record narratives should address the following competencies. See the How You Will Be Evaluated section below for more information:
Legal and Regulatory Analysis: Conducts analysis and prepares documents and reports in compliance with Federal law that governs the rulemaking process.
Teamwork and Collaboration: Interacts with internal and external others in a manner that advances SEC goals and objectives.
Critical Thinking: Considers a variety of factors, general and subject matter-specific, when making decisions and determining next steps in a case.
Workload Management: Effectively prioritizes workload in a way that accommodates unforeseen developments and achieves successful outcomes.
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.
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 informational purposes; a selectee's initial pay will be established below the maximum rate of the range. The pay for current SEC employees will be determined according to the procedures specified in the agency's policy. Please click here for a compensation overview.
Reasonable Accommodation: If you are an applicant who needs a reasonable accommodation to participate in the SEC application process due to a medical disability, please contact reasonableaccommodation@sec.gov. For religious-based accommodations, please contact religiousaccommodation@sec.gov . Please be sure to submit your request at least 5 business days in advance of the date you need the requested accommodation.
Equal Employment Opportunity (EEO) Information for SEC Job Applicants: Federal EEO laws protect all applicants from discrimination on the following bases: race, color, religion, sex, pregnancy, national origin, political affiliation, sexual orientation, marital status, disability, genetic information, age, membership in an employee organization, retaliation, parental status, military service or other non-merit factor. Applicants who believe they have been discriminated against on any EEO basis can seek recourse through the SEC's administrative complaints process. To be timely, an individual must enter the EEO process within 45 days from when they know (or should have known) of the alleged discrimination. Click here for additional information.
The Fair Chance Act prohibits specific inquiries concerning an applicant's criminal or credit background unless the hiring agency has made a conditional offer of employment to the applicant. An applicant may submit a complaint, or any other information, to the agency within 30 calendar days of the date of alleged non-compliance by contacting the Legal and Policy Office in the Office of Human Resources at ElliottT@sec.gov.
Candidates should be committed to improving the efficiency of the Federal government, passionate about the ideals of our American republic, and committed to upholding the rule of law and the United States Constitution.
A career with the U.S. government provides employees with a comprehensive benefits package. As a federal employee, you and your family will have access to a range of benefits that are designed to make your federal career very rewarding. Opens in a new windowLearn more about federal benefits.
Eligibility for benefits depends on the type of position you hold and whether your position is full-time, part-time or intermittent. Contact the hiring agency for more information on the specific benefits offered.
How you will be evaluated
You will be evaluated for this job based on how well you meet the qualifications above.
Your resume and application package will be reviewed to determine whether you meet the qualification requirements outlined in this announcement.
Your qualifications will be assessed through a two-step screening process:
Minimum Qualifications Resume Review
Accomplishment Record Review
If you are found minimally qualified through the resume review, a rating panel will review your resume and Accomplishment Record narratives. Accomplishment Record narrative should clearly demonstrate your proficiency in the competencies listed in the Qualifications section. Submitting a Performance Appraisal does not fulfill the requirement for an Accomplishment Record. Click here for help with writing your Accomplishment Record.
Your resume must provide evidence that supports the claims made in your Accomplishment Record narratives; both documents must effectively showcase your qualifications. Each competency narrative should detail one specific, relevant example from your training or experience. Please limit each response to a maximum of 300 words, as any text beyond this limit will not be considered during the evaluation. You will upload one document with your narrative responses addressing each of the four competencies. Your responses must be in the below format:
Competency Title
Position title and dates from your resume that this experience was obtained
Describe the situation (i.e., the challenged faced, the problem solved)
Describe the specific actions you took
State the outcome, results, or long-term impact of your accomplishment
Name and email address of someone who can verify this information
Basis for Rating: The rating panel will evaluate applicants' accomplishment records and resume, then place them into one of the following categories:
Highly Qualified - Meets the minimum qualification requirements and has extensive skills and experience in most of the job related competencies.
Well Qualified - Meets the minimum qualification requirements and has a moderate amount of skills and experience in most of the job related competencies.
Qualified - Meets the minimum qualification requirements, but may have a limited amount of experience in several of the job related competencies.
Top ranked applicants will be referred to the hiring office for further review and consideration. The hiring office may directly contact recommended candidates for interview(s).
A career with the U.S. government provides employees with a comprehensive benefits package. As a federal employee, you and your family will have access to a range of benefits that are designed to make your federal career very rewarding. Opens in a new windowLearn more about federal benefits.
Eligibility for benefits depends on the type of position you hold and whether your position is full-time, part-time or intermittent. Contact the hiring agency for more information on the specific benefits offered.
You must provide a complete Application Package, which includes:
Required: Your responses to the Questionnaire.
Required: Resume - Resumes should include relevant work experience, with specific employment dates, that demonstrates qualifications for the specialized experience and competencies as outlined above. If your resume does not reflect demonstrated evidence of these qualifications, you may not receive consideration for the position. Resumes that exceed two pages will be deemed ineligible and receive no further consideration. For resume writing tips, visit USAJOBS and the SEC careers page.
Required, if applicable: Veteran's documentation (DD-214, member 4 copy or other documentation containing dates of service and character of discharge.)
Required: Accomplishment Record - The Accomplishment Record is a set of narrative responses that demonstrate your proficiency in the competencies listed. These narratives support your resume by providing specific examples from your training or experience. For each competency, you must provide a 300 word or less written narrative (text only) describing one example of competency-related experience. Text beyond this limit will not be considered. This document must be uploaded to the application under Accomplishment Record. An accomplishment record submitted outside the USA Staffing system will not be accepted. Failure to provide the Accomplishment Record in the correct format will result in an ineligible rating.
Required: Unofficial Transcripts/Registration/License - If education is a qualification for this position, you must submit a copy of your unofficial transcripts with your application. If you are selected for the position, you will need to provide an official transcript along with your certificate of good standing.
If you are relying on your education to meet qualification requirements:
Failure to provide all of the required information as stated in this vacancy announcement may result in an ineligible rating or may affect the overall rating.
To apply for this position, you must complete the online application and submit the documentation specified in the Required Documents section below.
A complete application package must be submitted by 11:59 PM (EST) on the closing date of the announcement to receive consideration. No additional documentation will be accepted after the closing date of the announcement.
To begin, click Apply to access the online application. You will need to be logged into your USAJOBS account to apply. If you do not have a USAJOBS account, you will need to create one before beginning the application.
Follow the prompts to select your resume and/or other supporting documents to be included with your application package. You will have the opportunity to upload additional documents to include in your application before it is submitted. Your uploaded documents may take several hours to clear the virus scan process.
After acknowledging you have reviewed your application package, complete the Include Personal Information section as you deem appropriate and click to continue with the application process.
You will be taken to the online application which you must complete in order to apply for the position. Complete the online application, verify the required documentation is included with your application package, and submit the application.
To verify the status of your application, log into your USAJOBS account (https://my.usajobs.gov/Account/Login), all of your applications will appear on the Welcome screen. The Application Status will appear along with the date your application was last updated. For information on what each Application Status means, visit: https://www.usajobs.gov/Help/how-to/application/status/.
Division of Trading and Markets
100 F Street NE
Washington, DC 20549
US
Next steps
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 http://usajobs.gov/ 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' Preference, certification of disability, etc.).
The Federal hiring process is set up to be fair and transparent. Please read the following guidance.
You must provide a complete Application Package, which includes:
Required: Your responses to the Questionnaire.
Required: Resume - Resumes should include relevant work experience, with specific employment dates, that demonstrates qualifications for the specialized experience and competencies as outlined above. If your resume does not reflect demonstrated evidence of these qualifications, you may not receive consideration for the position. Resumes that exceed two pages will be deemed ineligible and receive no further consideration. For resume writing tips, visit USAJOBS and the SEC careers page.
Required, if applicable: Veteran's documentation (DD-214, member 4 copy or other documentation containing dates of service and character of discharge.)
Required: Accomplishment Record - The Accomplishment Record is a set of narrative responses that demonstrate your proficiency in the competencies listed. These narratives support your resume by providing specific examples from your training or experience. For each competency, you must provide a 300 word or less written narrative (text only) describing one example of competency-related experience. Text beyond this limit will not be considered. This document must be uploaded to the application under Accomplishment Record. An accomplishment record submitted outside the USA Staffing system will not be accepted. Failure to provide the Accomplishment Record in the correct format will result in an ineligible rating.
Required: Unofficial Transcripts/Registration/License - If education is a qualification for this position, you must submit a copy of your unofficial transcripts with your application. If you are selected for the position, you will need to provide an official transcript along with your certificate of good standing.
If you are relying on your education to meet qualification requirements:
Failure to provide all of the required information as stated in this vacancy announcement may result in an ineligible rating or may affect the overall rating.
To apply for this position, you must complete the online application and submit the documentation specified in the Required Documents section below.
A complete application package must be submitted by 11:59 PM (EST) on the closing date of the announcement to receive consideration. No additional documentation will be accepted after the closing date of the announcement.
To begin, click Apply to access the online application. You will need to be logged into your USAJOBS account to apply. If you do not have a USAJOBS account, you will need to create one before beginning the application.
Follow the prompts to select your resume and/or other supporting documents to be included with your application package. You will have the opportunity to upload additional documents to include in your application before it is submitted. Your uploaded documents may take several hours to clear the virus scan process.
After acknowledging you have reviewed your application package, complete the Include Personal Information section as you deem appropriate and click to continue with the application process.
You will be taken to the online application which you must complete in order to apply for the position. Complete the online application, verify the required documentation is included with your application package, and submit the application.
To verify the status of your application, log into your USAJOBS account (https://my.usajobs.gov/Account/Login), all of your applications will appear on the Welcome screen. The Application Status will appear along with the date your application was last updated. For information on what each Application Status means, visit: https://www.usajobs.gov/Help/how-to/application/status/.
Division of Trading and Markets
100 F Street NE
Washington, DC 20549
US
Next steps
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 http://usajobs.gov/ 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' Preference, certification of disability, etc.).
Fair and transparent
The Federal hiring process is set up to be fair and transparent. Please read the following guidance.
