SUPERVISORY ATTORNEY ADVISER

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 Technology Controls Program within the Division of Examinations is filling one Supervisory Attorney-Adviser, SK-905-15 position located in Atlanta, GA, Boston, MA, Chicago, IL, Denver, CO, Ft. Worth, TX, Los Angeles, CA, Miami, FL, New York, NY, Philadelphia, PA, Salt Lake City, UT, San Francisco, CA or Washington, DC.. This position will lead a branch of examiners.

If selected, you will join a well-respected team in the Division of Examinations that is responsible for the examination of firms engaged in the use of crypto asset securities.

Typical duties include:

• Managing a team of examiners with various levels of experience and professional backgrounds to conduct examinations of securities-related financial institutions registered with the SEC such as broker-dealers and investment advisers;
• Executing risk-based examination plans, which frequently involves: (i) analyzing registrant's operations and procedures, trading practices, supervisory systems, risk management systems, books and records, and financial statements, (ii) investigating new financial products, and/or(iii) interviewing principals of registrants,; and
• Developing recommendations and reports, presenting and defending findings, and collaborating as required with key stakeholders of the examination process, including internal divisions and offices (e.g. Division of Trading and Markets and Office of International Affairs), and other US and foreign regulators.
• Direct employees responsible for performing examinations, development of analytical tools, and related tasks related to crypto asset securities;
• Develop and maintain relationships with other programs in the Division of Examinations, as well as with other SEC Divisions and Offices and other securities regulators;
• Conduct interviews of registrant personnel, review examination-related documents, perform research and analysis, and develop recommendations related to findings or issues encountered; and supervise other examination staff performing these duties;
• Draft and edit precise and well-organized documents such as risk assessment reports, request lists, examination workpapers and memoranda, and correspondence regarding findings and conclusions;
• As required, work with senior staff to develop and respond to questions on processes, procedures, and policy; and
• Collaborate with other team members. Work both individually and as part of a team.

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-15
• 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 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.
• Typical Examiner Travel: Examination staff routinely travel to the offices of registered entities to conduct on-site inspections of facilities, to meet with and interview entity personnel, and to examine certain business records.

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-15: Applicant must haveat least three years of post J.D. experience identifying legal issues, providing legal analyses, providing legal solutions/recommendations, and preparing legal documents, such as contracts, dispositions, pleadings, and motions, which also includes at least two years of:

1. Providing legal advice on issues related to the rules and policies of Federal securities laws and acts relating to crypto assets; AND
2. Developing recommendations and/or reports of findings while interacting with executive management, co-workers, and members of the securities industry to resolve issues; AND
3. Conducting briefings for management and/or representing the organization at briefings and meetings with other divisions or government agencies or speaking at conferences; ANDat least one of the following:
4. Independently analyzing legal issues arising from interpretation and application of federal securities laws, rules and regulations and identifying the impact to a program; OR
5. Drafting and/or assessing policies and procedures related to new or emerging products such as crypto assets.

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
SK-15: $138,616 - $239,263

Boston, MA
SK-15: $147,665 - $254,880

Chicago, IL
SK-15: $146,245 - $252,430

Denver, CO
SK-15: $145,411 - $250,991

Fort Worth, TX
SK-15: $142,391 - $245,778

Los Angeles, CA
SK-15: $151,991 - $262,349

Miami, FL
SK-15: $139,878 - $241,441

New York, NY
SK-15: $153,422 - $264,819

Philadelphia, PA
SK-15: $144,048 - $248,637

Salt Lake City, UT
SK-15: $131,270 - $226,582

San Francisco, CA
SK-15: $162,425 - $272,100

Washington DC
SK-15: $149,287 - $257,681

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.

TTY/ASCII: Video Relay Service users are welcome to contact the appropriate SEC office or employee via the contact information listed above. If you do not otherwise have access to a Video Phone or Video Relay service, you may send us an email or use the Federal Video Relay Service via the internet. For more information about using the Federal Relay Service and to create a new account, please see: https://www.federalrelay.us/

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• Benefits

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  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.

$131,270 - $272,100 per year