ATTORNEY - SECURITIES MARKET STRUCTURE RULEMAKING AND RULE FILING REVIEW

Full Job Description

The Division of Trading and Markets (TM), Office of Market Supervision (OMS) is seeking applicants to fill their Attorney - Securities Market Structure Rulemaking and Rule Filing Review (Attorney-Adviser) positions.

The successful applicant will have strong research and writing skills and be interested in learning about the securities markets while working to strengthen our national market system and protect investors.

Applicants are responsible for confirming all required materials are submitted by the closing date of the announcement.

Please check the How You Will Be Evaluated and Required Documents sections carefully, as missing documents will render the application incomplete and ineligible for review.

Qualifying experience may be obtained in the private or public sector.

Experience refers to paid and unpaid experience, including volunteer work done through National Service programs (e.g., Peace Corps, AmeriCorps) and other organizations (e.g., professional, philanthropic, religious, spiritual, community, student, social).

Volunteer work helps build critical competencies, knowledge, and skills and can provide valuable training and experience that translates directly to paid employment.

You will receive credit for all qualifying experience, including volunteer experience. All qualification requirements must be met by the closing date of this announcement.

BASIC REQUIREMENT: All applicants must possess the following: J.D. or LL.B.

degree --AND-- Active membership of the bar in good standing in any state, territory of the United States, the District of Columbia, or the commonwealth of Puerto Rico.

(Note: proof of bar membership will be required before entry on duty.

MINIMUM QUALIFICATION REQUIREMENT: In addition to meeting the basic requirement, applicants must also meet the minimum qualification requirement.

SK-14: In addition to the Basic Requirements, the applicant must have three years of post J.D.

experience identifying legal issues, providing legal analyses, providing legal solutions/recommendations, and preparing legal documents, such as filings, memoranda, contracts, pleadings, and motions, which also includes at least two years of either: Interpreting, applying, and explaining the provisions of the laws, rules, and regulations that govern the securities industry, in particular, the Securities Exchange Act of 1934, the Securities Act of 1933, the Investment Company Act of 1940, and/or the Investment Advisers Act of 1940 and related self-regulatory organization rules; OR Developing and justifying recommendations or conclusions related to federal, state, or local law, including experience gained through regulatory or litigation practice in areas such as financial and securities law, corporate, tax, derivatives, commodities, fixed income, trusts, consumer protection, banking, or other areas relevant to trading venues and market participants.

ACCOMPLISHMENT RECORD COMPETENCIES: Your Accomplishment Record narratives should address the following competencies.

See the How You Will Be Evaluated section below for more information: Legal and Regulatory Analysis: Conducts analysis and prepares documents and reports in compliance with Federal law that governs the rulemaking process.

Teamwork and Collaboration: Interacts with internal and external others in a manner that advances SEC goals and objectives.

Critical Thinking: Considers a variety of factors, general and subject matter-specific, when making decisions and determining next steps in a case.

Workload Management: Effectively prioritizes workload in a way that accommodates unforeseen developments and achieves successful outcomes. Major Duties:

In this role as a Attorney - Securities Market Structure Rulemaking and Rule Filing Review, you will be responsible for: Working in a matrixed organizational structure (like a law firm) with a variety of supervisors and colleagues in reviewing, researching, and recommending action on registration filings and proposed rule changes from self-regulatory organizations (including stock, options, and security futures exchanges) and other market venues (including alternative trading systems and security-based swap execution facilities); drafting and editing internal and external documents and releases; communicating with external market participants and briefing senior staff on those matters.

Participating in the development and implementation of regulatory initiatives, including Commission rulemaking, and other Commission or staff initiatives implicating the Securities Exchange Act of 1934 ("Exchange Act") and related statutes, rules, or regulations.

Researching, interpreting, and developing guidance or legal positions on, and facilitating action on complex legal and policy issues arising from the interpretation and application of, self-regulatory organization rules and the federal securities laws and the rules and regulations promulgated thereunder, including in emerging areas such as blockchain, crypto assets, and tokenized securities.

Reviewing, analyzing, and interpreting new legislative initiatives, Congressional mandates, Commission or court decisions, actions taken by other regulators, and other events that may affect the securities markets and that implicate various sections of the Exchange Act.

Consulting and coordinating with self-regulatory organizations, broker-dealers, and other financial market participants, as well as other staff in TM and across the Commission to complete assignments.