SENIOR OFFICER - ASSOCIATE GENERAL COUNSEL (TRADING AND MARKETS)

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 Legal Policy 1 Group in the Office of the General Counsel provides legal and policy advice to the Commission, individual Commissioners, and the divisions and offices concerning securities laws, administrative law, and other applicable laws. In particular, the Legal Policy 1 Group analyzes regulatory recommendations to the Commission primarily from the Divisions of Trading and Markets and Investment Management.

This position serves as the Associate General Counsel for Trading and Markets focusing on matters involving oversight and supervision of the U.S. securities markets (e.g., exchanges, clearing agencies, and other self-regulatory organizations) and securities market participants (e.g., broker-dealers and security-based swap dealers).

Typical duties include:

• Reviewing and analyzing proposals for rules and regulations drafted by other divisions or offices of the Commission, particularly from the Division of Trading and Markets.
• Advising the Commission, the General Counsel, and other divisions and offices on complex legal and policy matters involving the Securities Act of 1934 and other areas of law, such as administrative law.
• Overseeing the legal advice given to the Commission, the General Counsel, divisions and offices, and other senior leaders on rulemakings and regulatory initiatives and other high priority projects, and managing and supervising attorneys and staff within the office.
• Establishing and maintaining close cooperative working relationships with the Commission's management and officials to advance the programs and objectives of the Commission.
• Planning and managing broad, emerging, and/or critical agency programs or operations, including monitoring to ensure that specific goals and objectives are achieved and producing high quality results in expeditious time frames.
• Advising on complex and difficult legal matters. Interpreting regulations, orders, and legislation; providing authoritative advice and assistance to other attorneys whose work has broad legal implications and may require anticipation of the development of law in order to formulate policy alternatives; and analyzing the legal aspects of such alternatives, consistent with the development of law.

Requirements

Conditions of Employment

• You must possess a J.D. or LL.B Degree.
• You must be an active member of the bar in good standing.
• CITIZENSHIP: This position is open to US Citizens.
• Application procedures are specific to this vacancy announcement. Please read all the instructions carefully. Failure to follow the instructions may result in you not being considered for this position.
• Supplementary vacancies may be filled in addition to the number stated in this announcement.
• This position has promotion potential to the SO-02.
• TRIAL PERIOD: This appointment may require completion of a two year supervisory/managerial trial period.
• SECURITY CLEARANCE: Entrance on duty is contingent upon completion of a pre-employment security investigation. Favorable results on a Background Investigation may be a condition of employment or selection to another position.
• DRUG TESTING: This position may be subjected to drug testing requirements.
• PERMANENT CHANGE OF STATION (PCS): Moving/Relocation expenses are not authorized.
• DIRECT DEPOSIT: All Federal employees are required to have Federal salary payments made by direct deposit to a financial institution of their choosing.
• This position is not in the collective bargaining unit.
• For consideration at the SO-2 level, you must currently hold a SO-2 position within the SEC.
• 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.

SO-01: The applicant must have at least four years of post J.D. work experience identifying legal issues, conducting legal research, providing legal analyses, providing legal solutions/recommendations, and preparing legal documents, such as legal opinions, briefs, memoranda, correspondence, or motions, which also includes at least three years of specialized experience:

1. Applying federal securities laws with particular emphasis on matters involving the Securities Act of 1934 and providing legal advice and analysis of complex issues relating to these statutes and regulations thereunder;
2. Providing a range of legal advisory services, including producing legal memoranda and providing oral presentations, on questions of law to agency leadership and/or private sector leaders involving the federal securities laws and administrative law;
3. Experience involving the federal rulemaking process and applicable administrative law;
4. Negotiating legal and policy issues with senior level officials or organizational leaders; and
5. Managing a diverse workload in a high-pressure environment, while leading or providing guidance and direction to subordinate staff on complex securities law questions.

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

Official Transcripts will be required at the time of appointment to verify educational eligibility.

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/

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.

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• 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 windowLearn 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. 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.)

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.

$190,564 - $289,273 per year