U.S. Securities and Exchange Commission
Washington, DC
Help
Duties
At the Securities and Exchange Commission (SEC) we are committed to diversity, equity, inclusion and accessibility (DEIA) and value a workforce that reflects the diverse experiences and perspectives of the communities we serve. As such, we welcome applications from qualified individuals of all backgrounds who share our commitment to public service.
Typical duties include:
Advising the Director, the Deputy Director and, as assigned, other senior officers, on questions of law or policy involved in the operations of the SEC and in its contacts with industry, private and professional associations, U.S. federal and foreign governments, and the general public. Assisting the Director with monitoring and advancing progress of long-term office projects. Engaging with domestic and international authorities and international organizations to facilitate international regulatory, enforcement, and supervisory cooperation, provide technical assistance to foreign officials and advance SEC initiatives and policies on international topics. Promoting best practices relating to regulatory policy, the oversight, and development of capital markets, and the enforcement of the federal securities laws. Provide expert analysis and advice relating to such practices to SEC staff and officials. Analyzing and interpreting new US and foreign legislation and implementing regulations, and briefing US and foreign officials and staff on their purpose and effect, with a focus on cross-border issues. Assisting in the promulgation of policy, and reviewing draft regulations and policy documents. Prepare and present briefings on legal and policy issues. Serving as a principal liaison between the Office and the Chair's Office, Commissioners, and other SEC Divisions and Offices and other Federal agencies. In particular, the Counsel will work closely with the Chair's Office in connection with arranging the Chair's bilateral meetings with external parties and developing the agendas for the meetings, and will work with OIA staff in preparing briefing memoranda and talking points for the Chair. Assisting in arranging the Chair's participation in the meetings of multilateral organizations, including the FSB and IOSCO, and preparing briefings for those meetings. Arranging the Director's meetings with internal and external parties, developing agendas for those meetings and preparing briefing memoranda and talking points for those meetings. Preparing and coordinating preparation of written briefings to the Chair, the Director and, as assigned, other senior officers, on international issues and items for decision. Advising the Director in connection with evaluating invitations for the Chair and OIA Director to meet with outside parties or participate in outside speaking engagements. Track requests and responses and ensure timely review and response regarding invitations. Help
Requirements Conditions of Employment CITIZENSHIP: You must be a US Citizen. You must possess a J.D. or LL.B Degree and You must be an active member of the bar in good standing. This position is open to current Office of International Affairs employees only. 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 SK-16 TRIAL PERIOD: This appointment may require completion of a two-year 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. This is a temporary promotion not-to-exceed 6 months from date of appointment to the position. This appointment may be extended OR it may end at any time during the course of the appointment at the discretion of management. Applicants should also be available for possible extension, if needed. If selected, you may receive a salary increase for the duration of the temporary promotion. You will be returned to your original salary at the end of the appointment. This position is eligible to request telework in accordance with the SEC 's telework policy. 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. SK-16 : Applicant must have at least four years of post J.D. experience identifying legal issues, providing legal analyses, and providing legal solutions/recommendations, which also includes at least three years of specialized experience:
Negotiating and interacting with US and Foreign regulators and other authorities regarding regulatory policy, enforcement, supervisory, or technical assistance matters; and Providing legal advice and analysis in connection with international matters. Education 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 and such education has been deemed equivalent to that gained in an accredited U.S. education program; or full credit has been given for the courses at a U.S. accredited college or university. For further information, visit: http://www.ed.gov/about/offices/list/ous/international/usnei/us/edlite-visitus-forrecog.html Additional information IMPORTANT INFORMATION FOR SURPLUS OR DISPLACED FEDERAL EMPLOYEES: Career Transition Assistance Plan (CTAP) is available to individuals who have special priority selection rights under this plan. Individuals must be minimally qualified for this position to receive consideration for special priority selection. CTAP eligibles will be considered minimally qualified if they meet the minimum requirements for this position. Reasonable Accommodation: If you are an applicant who needs a reasonable accommodation for disability to participate in the application process at the SEC, submit the form for Reasonable Accommodation for Participation in Job Application Process here . 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, sex (not limited to conduct which is sexual in nature, includes pregnancy, gender identity, sexual orientation, transgender status), age (40 and over), religion, national origin, disability, genetic information, retaliation for participating in the EEO process or opposing discrimination. 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. Read more Benefits Help
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 window Learn more about federal benefits .
Review our 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. Help
Required Documents
You must provide a complete Application Package, which includes:
Required : Your responses to the Occupational Questionnaire. Required: Your complete and comprehensive resume that includes a complete history of your work experience and the applicable employment dates with months and years. It is recommended that your resume include thetitle, series, and grade (e.g. SK-0301-12) for all relevant Federal experience . To determine if you qualify for this position, OHR will review your work history that is relevant to the specific position for which you applied. If you are a current SEC employee selected for this position, the standard percentage increases will be applied (i.e., 6% for non-supervisory and 10% for supervisory positions) if your selection results in a promotion. If your selection results in lateral movement (i.e. no change in grade) you will maintain your current salary. If your selection results in a change in grade from an SK-15 to an SK-16 you will maintain your current salary.Note: Your resume must directly address the definition of specialized experience listed in the qualification section of this announcement and must NOT contain pictures.
If you are relying on your education to meet qualification requirements:
Education must be accredited by an accrediting institution recognized by the U.S. Department of Education in order for it to be credited towards qualifications. Therefore, provide only the attendance and/or degrees from
schools accredited by accrediting institutions recognized by the U.S. Department of Education .
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.
Full-time
Help
Duties
At the Securities and Exchange Commission (SEC) we are committed to diversity, equity, inclusion and accessibility (DEIA) and value a workforce that reflects the diverse experiences and perspectives of the communities we serve. As such, we welcome applications from qualified individuals of all backgrounds who share our commitment to public service.
Typical duties include:
Advising the Director, the Deputy Director and, as assigned, other senior officers, on questions of law or policy involved in the operations of the SEC and in its contacts with industry, private and professional associations, U.S. federal and foreign governments, and the general public. Assisting the Director with monitoring and advancing progress of long-term office projects. Engaging with domestic and international authorities and international organizations to facilitate international regulatory, enforcement, and supervisory cooperation, provide technical assistance to foreign officials and advance SEC initiatives and policies on international topics. Promoting best practices relating to regulatory policy, the oversight, and development of capital markets, and the enforcement of the federal securities laws. Provide expert analysis and advice relating to such practices to SEC staff and officials. Analyzing and interpreting new US and foreign legislation and implementing regulations, and briefing US and foreign officials and staff on their purpose and effect, with a focus on cross-border issues. Assisting in the promulgation of policy, and reviewing draft regulations and policy documents. Prepare and present briefings on legal and policy issues. Serving as a principal liaison between the Office and the Chair's Office, Commissioners, and other SEC Divisions and Offices and other Federal agencies. In particular, the Counsel will work closely with the Chair's Office in connection with arranging the Chair's bilateral meetings with external parties and developing the agendas for the meetings, and will work with OIA staff in preparing briefing memoranda and talking points for the Chair. Assisting in arranging the Chair's participation in the meetings of multilateral organizations, including the FSB and IOSCO, and preparing briefings for those meetings. Arranging the Director's meetings with internal and external parties, developing agendas for those meetings and preparing briefing memoranda and talking points for those meetings. Preparing and coordinating preparation of written briefings to the Chair, the Director and, as assigned, other senior officers, on international issues and items for decision. Advising the Director in connection with evaluating invitations for the Chair and OIA Director to meet with outside parties or participate in outside speaking engagements. Track requests and responses and ensure timely review and response regarding invitations. Help
Requirements Conditions of Employment CITIZENSHIP: You must be a US Citizen. You must possess a J.D. or LL.B Degree and You must be an active member of the bar in good standing. This position is open to current Office of International Affairs employees only. 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 SK-16 TRIAL PERIOD: This appointment may require completion of a two-year 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. This is a temporary promotion not-to-exceed 6 months from date of appointment to the position. This appointment may be extended OR it may end at any time during the course of the appointment at the discretion of management. Applicants should also be available for possible extension, if needed. If selected, you may receive a salary increase for the duration of the temporary promotion. You will be returned to your original salary at the end of the appointment. This position is eligible to request telework in accordance with the SEC 's telework policy. 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. SK-16 : Applicant must have at least four years of post J.D. experience identifying legal issues, providing legal analyses, and providing legal solutions/recommendations, which also includes at least three years of specialized experience:
Negotiating and interacting with US and Foreign regulators and other authorities regarding regulatory policy, enforcement, supervisory, or technical assistance matters; and Providing legal advice and analysis in connection with international matters. Education 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 and such education has been deemed equivalent to that gained in an accredited U.S. education program; or full credit has been given for the courses at a U.S. accredited college or university. For further information, visit: http://www.ed.gov/about/offices/list/ous/international/usnei/us/edlite-visitus-forrecog.html Additional information IMPORTANT INFORMATION FOR SURPLUS OR DISPLACED FEDERAL EMPLOYEES: Career Transition Assistance Plan (CTAP) is available to individuals who have special priority selection rights under this plan. Individuals must be minimally qualified for this position to receive consideration for special priority selection. CTAP eligibles will be considered minimally qualified if they meet the minimum requirements for this position. Reasonable Accommodation: If you are an applicant who needs a reasonable accommodation for disability to participate in the application process at the SEC, submit the form for Reasonable Accommodation for Participation in Job Application Process here . 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, sex (not limited to conduct which is sexual in nature, includes pregnancy, gender identity, sexual orientation, transgender status), age (40 and over), religion, national origin, disability, genetic information, retaliation for participating in the EEO process or opposing discrimination. 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. Read more Benefits Help
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 window Learn more about federal benefits .
Review our 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. Help
Required Documents
You must provide a complete Application Package, which includes:
Required : Your responses to the Occupational Questionnaire. Required: Your complete and comprehensive resume that includes a complete history of your work experience and the applicable employment dates with months and years. It is recommended that your resume include thetitle, series, and grade (e.g. SK-0301-12) for all relevant Federal experience . To determine if you qualify for this position, OHR will review your work history that is relevant to the specific position for which you applied. If you are a current SEC employee selected for this position, the standard percentage increases will be applied (i.e., 6% for non-supervisory and 10% for supervisory positions) if your selection results in a promotion. If your selection results in lateral movement (i.e. no change in grade) you will maintain your current salary. If your selection results in a change in grade from an SK-15 to an SK-16 you will maintain your current salary.Note: Your resume must directly address the definition of specialized experience listed in the qualification section of this announcement and must NOT contain pictures.
If you are relying on your education to meet qualification requirements:
Education must be accredited by an accrediting institution recognized by the U.S. Department of Education in order for it to be credited towards qualifications. Therefore, provide only the attendance and/or degrees from
schools accredited by accrediting institutions recognized by the U.S. Department of Education .
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.
U.S. Securities and Exchange Commission
Washington, DC
Duties
At the Securities and Exchange Commission (SEC), we are committed to diversity, equity, inclusion and accessibility (DEIA) and value a workforce that reflects the diverse experiences and perspectives of the communities we serve. As such, we welcome applications from qualified individuals of all backgrounds who share our commitment to public service.
Carry 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, the national clearance and settlement system, clearing agencies, transfer agents, and other securities industry participants. Assist the Assistant Director(s), 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 securities markets, clearing agencies, transfer agents, and other securities industry participants. Advise on regulatory, policy, operational, enforcement, and other matters relating to the national clearance and settlement system, U.S. securities markets, and related international matters and provide technical and legal assistance in the development and implementation of major SEC initiatives in these same areas. Independently analyze, summarize, and convey both verbally and in writing complex factual and legal issues; prepare summaries, memoranda, briefing documents, recommendations, and other materials related to same; prepare and present verbal and written briefings to Commissioners and their staff, as well as the Division Director, Deputy Director, Associate Director, and Assistant Director(s) with respect thereto. Assist senior staff in developing, proposing, and implementing rules, regulations, and policies related to the appropriate and effective oversight and regulation of clearing agencies, transfer agents, and other national clearance and settlement system and securities industry participants; help develop, coordinate, and implement SRO and transfer agent compliance and surveillance programs in a manner consistent with the Commission's mandate under the Exchange Act. Requirements Conditions of Employment CITIZENSHIP: This position is open to US Citizens. You must possess a J.D. or LL.B Degree. You must be an active member of the bar in good standing 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 SK-16. TRIAL PERIOD: This appointment may require completion of a two-year 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 in the collective bargaining unit. This position is eligible to request telework in accordance with the SEC 's telework policy. 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. SK-16 : Applicant must have 4 year(s) of post J.D. work experience, 3 year(s) of which includes: Experience interpreting and applying the provisions of the laws, rules, and regulations that govern the securities industry, in particular, the Securities Exchange Act of 1934; providing guidance and expertise in the evaluation of legal and policy issues, addressing securities law issues that often lack clearly applicable precedents due to the novelty of the issues, analyzing the factual and legal issues involved; explaining the application of legal principles and precedents, and developing and justifying recommendations or conclusions. Education 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 and such education has been deemed equivalent to that gained in an accredited U.S. education program; or full credit has been given for the courses at a U.S. accredited college or university. For further information, visit: http://www.ed.gov/about/offices/list/ous/international/usnei/us/edlite-visitus-forrecog.html Additional information SEC COMPENSATION PROGRAM: The overall salary range listed above is provided for informational purposes as it represents the full range that is applicable to current employees in this occupation/grade; however, a selectee's initial pay is always set below the maximum rate of the range. Please click here for additional information. Disability Employment: For information on disability appointments, please visit http://www.opm.gov/policy-data-oversight/disability-employment/ IMPORTANT INFORMATION FOR SURPLUS OR DISPLACED FEDERAL EMPLOYEES: Career Transition Assistance Plan (CTAP) is available to individuals who have special priority selection rights under this plan. Individuals must be minimally qualified for this position to receive consideration for special priority selection. CTAP eligibles will be considered minimally qualified if they meet the minimum requirements for this position. Reasonable Accommodation: If you are an applicant who needs a reasonable accommodation for disability to participate in the application process at the SEC, submit the form for Reasonable Accommodation for Participation in Job Application Process here . 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, sex (not limited to conduct which is sexual in nature, includes pregnancy, gender identity, sexual orientation, transgender status), age (40 and over), religion, national origin, disability, genetic information, retaliation for participating in the EEO process or opposing discrimination. 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 . Read more Benefits
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 window Learn more about federal benefits .
Review our 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. Required Documents
You must provide a complete Application Package, which includes:
Required : Your responses to the Occupational Questionnaire. Required: Your complete and comprehensive resume that includes a complete history of your work experience and the applicable employment dates with months and years. To determine if you qualify for this position, OHR will review your work history that is relevant to the specific position for which you applied. If you are an external candidate selected for this position, OHR will review your complete work history to establish your starting salary. If you are a current SEC employee selected for this position, the standard percentage increases will be applied (i.e., 6% for non-supervisory and 10% for supervisory positions) if your selection results in a promotion. If your selection results in lateral movement (i.e. no change in grade) you will maintain your current salary. If your selection results in a change in grade from an SK-15 to an SK-16 you will maintain your current salary. Note: Your resume must directly address the definition of specialized experience listed in the qualification section of this announcement and must NOT contain pictures. Required, if applicable: Veteran's documentation (DD-214, member 4 copy or other documentation containing dates of service and character of discharge.) Required, if applicable: CTAP documentation (a copy of a separation notice or other proof of eligibility for priority selection; a copy of an SF-50, Notification of Personnel Action, showing current position, grade, promotion potential, and duty location; AND a copy of your most recent performance appraisal.)
If you are relying on your education to meet qualification requirements:
Education must be accredited by an accrediting institution recognized by the U.S. Department of Education in order for it to be credited towards qualifications. Therefore, provide only the attendance and/or degrees from
schools accredited by accrediting institutions recognized by the U.S. Department of Education .
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.
Full-time
Duties
At the Securities and Exchange Commission (SEC), we are committed to diversity, equity, inclusion and accessibility (DEIA) and value a workforce that reflects the diverse experiences and perspectives of the communities we serve. As such, we welcome applications from qualified individuals of all backgrounds who share our commitment to public service.
Carry 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, the national clearance and settlement system, clearing agencies, transfer agents, and other securities industry participants. Assist the Assistant Director(s), 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 securities markets, clearing agencies, transfer agents, and other securities industry participants. Advise on regulatory, policy, operational, enforcement, and other matters relating to the national clearance and settlement system, U.S. securities markets, and related international matters and provide technical and legal assistance in the development and implementation of major SEC initiatives in these same areas. Independently analyze, summarize, and convey both verbally and in writing complex factual and legal issues; prepare summaries, memoranda, briefing documents, recommendations, and other materials related to same; prepare and present verbal and written briefings to Commissioners and their staff, as well as the Division Director, Deputy Director, Associate Director, and Assistant Director(s) with respect thereto. Assist senior staff in developing, proposing, and implementing rules, regulations, and policies related to the appropriate and effective oversight and regulation of clearing agencies, transfer agents, and other national clearance and settlement system and securities industry participants; help develop, coordinate, and implement SRO and transfer agent compliance and surveillance programs in a manner consistent with the Commission's mandate under the Exchange Act. Requirements Conditions of Employment CITIZENSHIP: This position is open to US Citizens. You must possess a J.D. or LL.B Degree. You must be an active member of the bar in good standing 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 SK-16. TRIAL PERIOD: This appointment may require completion of a two-year 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 in the collective bargaining unit. This position is eligible to request telework in accordance with the SEC 's telework policy. 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. SK-16 : Applicant must have 4 year(s) of post J.D. work experience, 3 year(s) of which includes: Experience interpreting and applying the provisions of the laws, rules, and regulations that govern the securities industry, in particular, the Securities Exchange Act of 1934; providing guidance and expertise in the evaluation of legal and policy issues, addressing securities law issues that often lack clearly applicable precedents due to the novelty of the issues, analyzing the factual and legal issues involved; explaining the application of legal principles and precedents, and developing and justifying recommendations or conclusions. Education 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 and such education has been deemed equivalent to that gained in an accredited U.S. education program; or full credit has been given for the courses at a U.S. accredited college or university. For further information, visit: http://www.ed.gov/about/offices/list/ous/international/usnei/us/edlite-visitus-forrecog.html Additional information SEC COMPENSATION PROGRAM: The overall salary range listed above is provided for informational purposes as it represents the full range that is applicable to current employees in this occupation/grade; however, a selectee's initial pay is always set below the maximum rate of the range. Please click here for additional information. Disability Employment: For information on disability appointments, please visit http://www.opm.gov/policy-data-oversight/disability-employment/ IMPORTANT INFORMATION FOR SURPLUS OR DISPLACED FEDERAL EMPLOYEES: Career Transition Assistance Plan (CTAP) is available to individuals who have special priority selection rights under this plan. Individuals must be minimally qualified for this position to receive consideration for special priority selection. CTAP eligibles will be considered minimally qualified if they meet the minimum requirements for this position. Reasonable Accommodation: If you are an applicant who needs a reasonable accommodation for disability to participate in the application process at the SEC, submit the form for Reasonable Accommodation for Participation in Job Application Process here . 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, sex (not limited to conduct which is sexual in nature, includes pregnancy, gender identity, sexual orientation, transgender status), age (40 and over), religion, national origin, disability, genetic information, retaliation for participating in the EEO process or opposing discrimination. 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 . Read more Benefits
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 window Learn more about federal benefits .
Review our 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. Required Documents
You must provide a complete Application Package, which includes:
Required : Your responses to the Occupational Questionnaire. Required: Your complete and comprehensive resume that includes a complete history of your work experience and the applicable employment dates with months and years. To determine if you qualify for this position, OHR will review your work history that is relevant to the specific position for which you applied. If you are an external candidate selected for this position, OHR will review your complete work history to establish your starting salary. If you are a current SEC employee selected for this position, the standard percentage increases will be applied (i.e., 6% for non-supervisory and 10% for supervisory positions) if your selection results in a promotion. If your selection results in lateral movement (i.e. no change in grade) you will maintain your current salary. If your selection results in a change in grade from an SK-15 to an SK-16 you will maintain your current salary. Note: Your resume must directly address the definition of specialized experience listed in the qualification section of this announcement and must NOT contain pictures. Required, if applicable: Veteran's documentation (DD-214, member 4 copy or other documentation containing dates of service and character of discharge.) Required, if applicable: CTAP documentation (a copy of a separation notice or other proof of eligibility for priority selection; a copy of an SF-50, Notification of Personnel Action, showing current position, grade, promotion potential, and duty location; AND a copy of your most recent performance appraisal.)
If you are relying on your education to meet qualification requirements:
Education must be accredited by an accrediting institution recognized by the U.S. Department of Education in order for it to be credited towards qualifications. Therefore, provide only the attendance and/or degrees from
schools accredited by accrediting institutions recognized by the U.S. Department of Education .
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.
U.S. Securities and Exchange Commission
Los Angeles, CA
Duties
At the Securities and Exchange Commission (SEC), we are committed to diversity, equity, inclusion and accessibility (DEIA) and value a workforce that reflects the diverse experiences and perspectives of the communities we serve. As such, we welcome applications from qualified individuals of all backgrounds who share our commitment to public service.
The mission of the Division of Examinations is to protect investors, ensure market integrity and support responsible capital formation through risk-focused strategies that: (1) improve compliance; (2) prevent fraud; (3) monitor risk; and (4) inform policy. The results of the Division's examinations are used by the SEC to inform rule-making initiatives, identify and monitor risks, improve industry practices and pursue misconduct.
If selected, you will join a well-respected team that is responsible for supporting EXAMS' mission to conduct and coordinate the nationwide examination program for entities over which the Commission has regulatory authority.
As Special Counsel in the Office of the Director, you will:
Serve as an expert adviser and consultant to the Director and Deputy Directors on examination related issues, questions of law and administrative policy involved in the operations of the SEC and in its contacts with industry, private and professional associations, state, local, and foreign governments, and the general public; Prepare and coordinating the preparation of presentations, speeches, talking points, Congressional testimony, and briefing memoranda for the Director. Serving as a liaison between the Office and the Chairman's Office, Commissioners, and other SEC Divisions and Offices and other Federal agencies; Support the Director and Deputy Directors on examination initiatives. Coordinating implementation with senior staff, monitoring schedules for individual projects and facilitating the Director's review of memorandum and publications drafted by EXAMS staff members and other Divisions and Offices; and Provide expert legal advice and assistance for issues or legal problems typically involving controversial and sensitive matters related to examinations. Requirements Conditions of Employment CITIZENSHIP: You must be a US Citizen. You must possess a J.D. or LL.B Degree and You must be an active member of the bar in good standing. This position is open to current permanent EXAMS employees ONLY. 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 SK-16 TRIAL PERIOD: This appointment may require completion of a two-year 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. This is a temporary promotion not-to-exceed one year from date of appointment to the position. This appointment may be extended OR it may end at any time during the course of the appointment at the discretion of management. Applicants should also be available for possible extension, if needed. If selected, you may receive a salary increase for the duration of the temporary promotion. You will be returned to your original salary at the end of the appointment. This position is eligible to request telework in accordance with the SEC 's telework policy. 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. SK-16: Applicant must have at least one year of specialized experience equivalent to the SK-14 level. Specialized experience includes: Applying of federal securities laws, rules and regulations, and policy; AND Drafting technical documents including legal memos, briefs, publications, or speeches; AND Interacting with senior level officers, leaders or executives. Education 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 and such education has been deemed equivalent to that gained in an accredited U.S. education program; or full credit has been given for the courses at a U.S. accredited college or university. For further information, visit: http://www.ed.gov/about/offices/list/ous/international/usnei/us/edlite-visitus-forrecog.html Additional information Salary Ranges Atlanta, GA $149,533- $253,616 Boston, MA $168,629 - $270,170 Chicago, IL $157,553 - $267,572 Denver, CO $156,655- $266,047 Fort Worth, TX $153,402 - $260,522 Los Angeles, CA $163,744 - $272,100 Miami, FL $150,695 - $255,925 New York, NY $165,286 - $272,100 Philadelphia, PA $155,186 - $263,552 Salt Lake City, UT $141,421 - $240,174 San Francisco, CA $174,985 - $272,100 Washington DC $160,831 - $272,100 IMPORTANT INFORMATION FOR SURPLUS OR DISPLACED FEDERAL EMPLOYEES: Career Transition Assistance Plan (CTAP) is available to individuals who have special priority selection rights under this plan. Individuals must be minimally qualified for this position to receive consideration for special priority selection. CTAP eligibles will be considered minimally qualified if they meet the minimum requirements for this position. Reasonable Accommodation: If you are an applicant who needs a reasonable accommodation for disability to participate in the application process at the SEC, submit the form for Reasonable Accommodation for Participation in Job Application Process here . 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, sex (not limited to conduct which is sexual in nature, includes pregnancy, gender identity, sexual orientation, transgender status), age (40 and over), religion, national origin, disability, genetic information, retaliation for participating in the EEO process or opposing discrimination. 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. Read more Benefits
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 window Learn more about federal benefits .
Review our 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. Required Documents
You must provide a complete Application Package, which includes:
Required : Your responses to the Occupational Questionnaire. Required: Your complete and comprehensive resume that includes a complete history of your work experience and the applicable employment dates with months and years. It is recommended that your resume include thetitle, series, and grade (e.g. SK-0301-12) for all relevant Federal experience . To determine if you qualify for this position, OHR will review your work history that is relevant to the specific position for which you applied. If you are a current SEC employee selected for this position, the standard percentage increases will be applied (i.e., 6% for non-supervisory and 10% for supervisory positions) if your selection results in a promotion. If your selection results in lateral movement (i.e. no change in grade) you will maintain your current salary. If your selection results in a change in grade from an SK-15 to an SK-16 you will maintain your current salary.Note: Your resume must directly address the definition of specialized experience listed in the qualification section of this announcement and must NOT contain pictures.
If you are relying on your education to meet qualification requirements:
Education must be accredited by an accrediting institution recognized by the U.S. Department of Education in order for it to be credited towards qualifications. Therefore, provide only the attendance and/or degrees from
schools accredited by accrediting institutions recognized by the U.S. Department of Education .
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.
Full-time
Duties
At the Securities and Exchange Commission (SEC), we are committed to diversity, equity, inclusion and accessibility (DEIA) and value a workforce that reflects the diverse experiences and perspectives of the communities we serve. As such, we welcome applications from qualified individuals of all backgrounds who share our commitment to public service.
The mission of the Division of Examinations is to protect investors, ensure market integrity and support responsible capital formation through risk-focused strategies that: (1) improve compliance; (2) prevent fraud; (3) monitor risk; and (4) inform policy. The results of the Division's examinations are used by the SEC to inform rule-making initiatives, identify and monitor risks, improve industry practices and pursue misconduct.
If selected, you will join a well-respected team that is responsible for supporting EXAMS' mission to conduct and coordinate the nationwide examination program for entities over which the Commission has regulatory authority.
As Special Counsel in the Office of the Director, you will:
Serve as an expert adviser and consultant to the Director and Deputy Directors on examination related issues, questions of law and administrative policy involved in the operations of the SEC and in its contacts with industry, private and professional associations, state, local, and foreign governments, and the general public; Prepare and coordinating the preparation of presentations, speeches, talking points, Congressional testimony, and briefing memoranda for the Director. Serving as a liaison between the Office and the Chairman's Office, Commissioners, and other SEC Divisions and Offices and other Federal agencies; Support the Director and Deputy Directors on examination initiatives. Coordinating implementation with senior staff, monitoring schedules for individual projects and facilitating the Director's review of memorandum and publications drafted by EXAMS staff members and other Divisions and Offices; and Provide expert legal advice and assistance for issues or legal problems typically involving controversial and sensitive matters related to examinations. Requirements Conditions of Employment CITIZENSHIP: You must be a US Citizen. You must possess a J.D. or LL.B Degree and You must be an active member of the bar in good standing. This position is open to current permanent EXAMS employees ONLY. 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 SK-16 TRIAL PERIOD: This appointment may require completion of a two-year 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. This is a temporary promotion not-to-exceed one year from date of appointment to the position. This appointment may be extended OR it may end at any time during the course of the appointment at the discretion of management. Applicants should also be available for possible extension, if needed. If selected, you may receive a salary increase for the duration of the temporary promotion. You will be returned to your original salary at the end of the appointment. This position is eligible to request telework in accordance with the SEC 's telework policy. 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. SK-16: Applicant must have at least one year of specialized experience equivalent to the SK-14 level. Specialized experience includes: Applying of federal securities laws, rules and regulations, and policy; AND Drafting technical documents including legal memos, briefs, publications, or speeches; AND Interacting with senior level officers, leaders or executives. Education 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 and such education has been deemed equivalent to that gained in an accredited U.S. education program; or full credit has been given for the courses at a U.S. accredited college or university. For further information, visit: http://www.ed.gov/about/offices/list/ous/international/usnei/us/edlite-visitus-forrecog.html Additional information Salary Ranges Atlanta, GA $149,533- $253,616 Boston, MA $168,629 - $270,170 Chicago, IL $157,553 - $267,572 Denver, CO $156,655- $266,047 Fort Worth, TX $153,402 - $260,522 Los Angeles, CA $163,744 - $272,100 Miami, FL $150,695 - $255,925 New York, NY $165,286 - $272,100 Philadelphia, PA $155,186 - $263,552 Salt Lake City, UT $141,421 - $240,174 San Francisco, CA $174,985 - $272,100 Washington DC $160,831 - $272,100 IMPORTANT INFORMATION FOR SURPLUS OR DISPLACED FEDERAL EMPLOYEES: Career Transition Assistance Plan (CTAP) is available to individuals who have special priority selection rights under this plan. Individuals must be minimally qualified for this position to receive consideration for special priority selection. CTAP eligibles will be considered minimally qualified if they meet the minimum requirements for this position. Reasonable Accommodation: If you are an applicant who needs a reasonable accommodation for disability to participate in the application process at the SEC, submit the form for Reasonable Accommodation for Participation in Job Application Process here . 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, sex (not limited to conduct which is sexual in nature, includes pregnancy, gender identity, sexual orientation, transgender status), age (40 and over), religion, national origin, disability, genetic information, retaliation for participating in the EEO process or opposing discrimination. 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. Read more Benefits
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 window Learn more about federal benefits .
Review our 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. Required Documents
You must provide a complete Application Package, which includes:
Required : Your responses to the Occupational Questionnaire. Required: Your complete and comprehensive resume that includes a complete history of your work experience and the applicable employment dates with months and years. It is recommended that your resume include thetitle, series, and grade (e.g. SK-0301-12) for all relevant Federal experience . To determine if you qualify for this position, OHR will review your work history that is relevant to the specific position for which you applied. If you are a current SEC employee selected for this position, the standard percentage increases will be applied (i.e., 6% for non-supervisory and 10% for supervisory positions) if your selection results in a promotion. If your selection results in lateral movement (i.e. no change in grade) you will maintain your current salary. If your selection results in a change in grade from an SK-15 to an SK-16 you will maintain your current salary.Note: Your resume must directly address the definition of specialized experience listed in the qualification section of this announcement and must NOT contain pictures.
If you are relying on your education to meet qualification requirements:
Education must be accredited by an accrediting institution recognized by the U.S. Department of Education in order for it to be credited towards qualifications. Therefore, provide only the attendance and/or degrees from
schools accredited by accrediting institutions recognized by the U.S. Department of Education .
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.
U.S. Securities and Exchange Commission
Washington, DC
Duties
At the Securities and Exchange Commission (SEC), we are committed to diversity, equity, inclusion and accessibility (DEIA) and value a workforce that reflects the diverse experiences and perspectives of the communities we serve. As such, we welcome applications from qualified individuals of all backgrounds who share our commitment to public service.
The Division also supervises use of approved models; develops market monitoring tools; provides analytical support, product expertise, rule reviews, policy insight; and reviews regulatory filings, risk positioning, internal audit, and liquidity.
Top 5 Typical Duties Include:
Carry 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, the national clearance and settlement system, clearing agencies, transfer agents, and other securities industry participants. Assist the Assistant Director(s), 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 securities markets, clearing agencies, transfer agents, and other securities industry participants. Advise on regulatory, policy, operational, enforcement, and other matters relating to the national clearance and settlement system, U.S. securities markets, and related international matters and provide technical and legal assistance in the development and implementation of major SEC initiatives in these same areas. Independently analyze, summarize, and convey both verbally and in writing complex factual and legal issues; prepare summaries, memoranda, briefing documents, recommendations, and other materials related to same; prepare and present verbal and written briefings to Commissioners and their staff, as well as the Division Director, Deputy Director, Associate Director, and Assistant Director(s) with respect thereto. Assist senior staff in developing, proposing, and implementing rules, regulations, and policies related to the appropriate and effective oversight and regulation of clearing agencies, transfer agents, and other national clearance and settlement system and securities industry participants; help develop, coordinate, and implement SRO and transfer agent compliance and surveillance programs in a manner consistent with the Commission's mandate under the Exchange Act. Requirements Conditions of Employment CITIZENSHIP: This position is open to US Citizens. You must possess a J.D. or LL.B Degree. You must be an active member of the bar in good standing 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 SK-16. TRIAL PERIOD: This appointment may require completion of a two-year 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 in the collective bargaining unit. This position is eligible to request telework in accordance with the SEC 's telework policy. Existing Participants in the SEC?s Remote Telework Program are eligible to apply for this position. If selected, management will evaluate and communicate whether the position will allow for continued participation in Remote Telework. 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 the Basic Requirements, the applicant must have four years of post J.D. experience as a practicing attorney; three years of which includes experience interpreting and applying the provisions of the laws, rules, and regulations that govern the securities industry, in particular, the Securities Exchange Act of 1934; providing guidance and expertise in the evaluation of legal and policy issues, addressing securities law issues that often lack clearly applicable precedents due to the novelty of the issues, analyzing the factual and legal issues involved; explaining the application of legal principles and precedents, and developing and justifying recommendations or conclusions. Education 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 and such education has been deemed equivalent to that gained in an accredited U.S. education program; or full credit has been given for the courses at a U.S. accredited college or university. For further information, visit: http://www.ed.gov/about/offices/list/ous/international/usnei/us/edlite-visitus-forrecog.html Additional information SEC COMPENSATION PROGRAM: The overall salary range listed above is provided for informational purposes as it represents the full range that is applicable to current employees in this occupation/grade; however, a selectee's initial pay is always set below the maximum rate of the range. Please click here for additional information. Disability Employment: For information on disability appointments, please visit http://www.opm.gov/policy-data-oversight/disability-employment/ IMPORTANT INFORMATION FOR SURPLUS OR DISPLACED FEDERAL EMPLOYEES: Career Transition Assistance Plan (CTAP) is available to individuals who have special priority selection rights under this plan. Individuals must be minimally qualified for this position to receive consideration for special priority selection. CTAP eligibles will be considered minimally qualified if they meet the minimum requirements for this position. Reasonable Accommodation: If you are an applicant who needs a reasonable accommodation for disability to participate in the application process at the SEC, submit the form for Reasonable Accommodation for Participation in Job Application Process here . 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, sex (not limited to conduct which is sexual in nature, includes pregnancy, gender identity, sexual orientation, transgender status), age (40 and over), religion, national origin, disability, genetic information, retaliation for participating in the EEO process or opposing discrimination. 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. Read more Benefits
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 window Learn more about federal benefits .
Review our 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. Required Documents
You must provide a complete Application Package, which includes:
Required : Your responses to the Occupational Questionnaire. Required: Your complete and comprehensive resume that includes a complete history of your work experience and the applicable employment dates with months and years. To determine if you qualify for this position, OHR will review your work history that is relevant to the specific position for which you applied. If you are an external candidate selected for this position, OHR will review your complete work history to establish your starting salary. If you are a current SEC employee selected for this position, the standard percentage increases will be applied (i.e., 6% for non-supervisory and 10% for supervisory positions) if your selection results in a promotion. If your selection results in lateral movement (i.e. no change in grade) you will maintain your current salary. If your selection results in a change in grade from an SK-15 to an SK-16 you will maintain your current salary. Note: Your resume must directly address the definition of specialized experience listed in the qualification section of this announcement and must NOT contain pictures. Required, if applicable: Veteran's documentation (DD-214, member 4 copy or other documentation containing dates of service and character of discharge.) Required, if applicable: CTAP documentation (a copy of a separation notice or other proof of eligibility for priority selection; a copy of an SF-50, Notification of Personnel Action, showing current position, grade, promotion potential, and duty location; AND a copy of your most recent performance appraisal.)
If you are relying on your education to meet qualification requirements:
Education must be accredited by an accrediting institution recognized by the U.S. Department of Education in order for it to be credited towards qualifications. Therefore, provide only the attendance and/or degrees from
schools accredited by accrediting institutions recognized by the U.S. Department of Education .
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.
Full-time
Duties
At the Securities and Exchange Commission (SEC), we are committed to diversity, equity, inclusion and accessibility (DEIA) and value a workforce that reflects the diverse experiences and perspectives of the communities we serve. As such, we welcome applications from qualified individuals of all backgrounds who share our commitment to public service.
The Division also supervises use of approved models; develops market monitoring tools; provides analytical support, product expertise, rule reviews, policy insight; and reviews regulatory filings, risk positioning, internal audit, and liquidity.
Top 5 Typical Duties Include:
Carry 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, the national clearance and settlement system, clearing agencies, transfer agents, and other securities industry participants. Assist the Assistant Director(s), 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 securities markets, clearing agencies, transfer agents, and other securities industry participants. Advise on regulatory, policy, operational, enforcement, and other matters relating to the national clearance and settlement system, U.S. securities markets, and related international matters and provide technical and legal assistance in the development and implementation of major SEC initiatives in these same areas. Independently analyze, summarize, and convey both verbally and in writing complex factual and legal issues; prepare summaries, memoranda, briefing documents, recommendations, and other materials related to same; prepare and present verbal and written briefings to Commissioners and their staff, as well as the Division Director, Deputy Director, Associate Director, and Assistant Director(s) with respect thereto. Assist senior staff in developing, proposing, and implementing rules, regulations, and policies related to the appropriate and effective oversight and regulation of clearing agencies, transfer agents, and other national clearance and settlement system and securities industry participants; help develop, coordinate, and implement SRO and transfer agent compliance and surveillance programs in a manner consistent with the Commission's mandate under the Exchange Act. Requirements Conditions of Employment CITIZENSHIP: This position is open to US Citizens. You must possess a J.D. or LL.B Degree. You must be an active member of the bar in good standing 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 SK-16. TRIAL PERIOD: This appointment may require completion of a two-year 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 in the collective bargaining unit. This position is eligible to request telework in accordance with the SEC 's telework policy. Existing Participants in the SEC?s Remote Telework Program are eligible to apply for this position. If selected, management will evaluate and communicate whether the position will allow for continued participation in Remote Telework. 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 the Basic Requirements, the applicant must have four years of post J.D. experience as a practicing attorney; three years of which includes experience interpreting and applying the provisions of the laws, rules, and regulations that govern the securities industry, in particular, the Securities Exchange Act of 1934; providing guidance and expertise in the evaluation of legal and policy issues, addressing securities law issues that often lack clearly applicable precedents due to the novelty of the issues, analyzing the factual and legal issues involved; explaining the application of legal principles and precedents, and developing and justifying recommendations or conclusions. Education 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 and such education has been deemed equivalent to that gained in an accredited U.S. education program; or full credit has been given for the courses at a U.S. accredited college or university. For further information, visit: http://www.ed.gov/about/offices/list/ous/international/usnei/us/edlite-visitus-forrecog.html Additional information SEC COMPENSATION PROGRAM: The overall salary range listed above is provided for informational purposes as it represents the full range that is applicable to current employees in this occupation/grade; however, a selectee's initial pay is always set below the maximum rate of the range. Please click here for additional information. Disability Employment: For information on disability appointments, please visit http://www.opm.gov/policy-data-oversight/disability-employment/ IMPORTANT INFORMATION FOR SURPLUS OR DISPLACED FEDERAL EMPLOYEES: Career Transition Assistance Plan (CTAP) is available to individuals who have special priority selection rights under this plan. Individuals must be minimally qualified for this position to receive consideration for special priority selection. CTAP eligibles will be considered minimally qualified if they meet the minimum requirements for this position. Reasonable Accommodation: If you are an applicant who needs a reasonable accommodation for disability to participate in the application process at the SEC, submit the form for Reasonable Accommodation for Participation in Job Application Process here . 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, sex (not limited to conduct which is sexual in nature, includes pregnancy, gender identity, sexual orientation, transgender status), age (40 and over), religion, national origin, disability, genetic information, retaliation for participating in the EEO process or opposing discrimination. 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. Read more Benefits
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 window Learn more about federal benefits .
Review our 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. Required Documents
You must provide a complete Application Package, which includes:
Required : Your responses to the Occupational Questionnaire. Required: Your complete and comprehensive resume that includes a complete history of your work experience and the applicable employment dates with months and years. To determine if you qualify for this position, OHR will review your work history that is relevant to the specific position for which you applied. If you are an external candidate selected for this position, OHR will review your complete work history to establish your starting salary. If you are a current SEC employee selected for this position, the standard percentage increases will be applied (i.e., 6% for non-supervisory and 10% for supervisory positions) if your selection results in a promotion. If your selection results in lateral movement (i.e. no change in grade) you will maintain your current salary. If your selection results in a change in grade from an SK-15 to an SK-16 you will maintain your current salary. Note: Your resume must directly address the definition of specialized experience listed in the qualification section of this announcement and must NOT contain pictures. Required, if applicable: Veteran's documentation (DD-214, member 4 copy or other documentation containing dates of service and character of discharge.) Required, if applicable: CTAP documentation (a copy of a separation notice or other proof of eligibility for priority selection; a copy of an SF-50, Notification of Personnel Action, showing current position, grade, promotion potential, and duty location; AND a copy of your most recent performance appraisal.)
If you are relying on your education to meet qualification requirements:
Education must be accredited by an accrediting institution recognized by the U.S. Department of Education in order for it to be credited towards qualifications. Therefore, provide only the attendance and/or degrees from
schools accredited by accrediting institutions recognized by the U.S. Department of Education .
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.