SENIOR ATTORNEY - OFFICE OF LEGAL COUNSEL

Full Job Description

The Division of Trading and Markets (TM), Office of Chief Counsel (OCC) is seeking an Attorney Adviser (Senior Attorney - Office of Legal Counsel) (OLC).

OLC administers wide-ranging elements of TM's regulatory program for broker-dealers and other intermediaries, works with federal and state regulators, self-regulatory organizations (SROs), investor advocates, and industry groups, and provides technical and policy assistance to U.S.

and foreign regulators on legislative and regulatory matters. 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-16: Applicant must have four 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 three years of either: Interpreting, 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, and related self-regulatory organization rules; OR Developing and justifying recommendations or conclusions related to federal, state, or local law regarding financial institutions, including experience gained through relevant litigation or enforcement activities, or similar experience in an area such as banking, commodities, or corporate.

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

See the How You Will Be Evaluated section below for more information: Rule Development: Prepares recommendations for rules that meet desired policy objectives within the Commission's statutory authority or that implement legislation.

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. Major Duties:

In this role as a Senior Attorney - Office of Legal Counsel, you will be responsible for: Carrying out a wide variety of duties relating to market intermediaries, including leading projects such as rulemaking initiatives and special projects, as well as reviewing draft rulemakings from other federal agencies.

Leading projects may include significant drafting responsibilities.

Reviewing, analyzing, and, as applicable, noticing SRO proposed rule change filings pertaining to, among other things, SRO rules governing continuing education, disciplinary procedures, statutory disqualification, and fingerprinting plans; and reviewing exemptive and no-action requests.

Reviewing and responding as appropriate to Rule 19h-1 filings submitted by the various SROs and submitted pursuant to Commission Rule of Practice 194 filings (both applications and notices submitted in lieu of an application).

Coordinating the efforts of others across TM in responding to, among other things, draft memoranda of understanding with other regulators, Freedom of Information Act requests, Paperwork Reduction Act renewals, and questions seeking interpretation and guidance from the public.

Interpreting and serving as a resource within TM on the definition of "securities" under the Exchange Act, various cyber-related initiatives, and for Regulations S-ID, S-AM, and S-P.

Coordinating the Division's international obligations, including facilitating programs or initiatives concerning international standard setting bodies such as the International Organization of Securities Commissions ("IOSCO").

Reviewing and providing advice regarding enforcement recommendations, as well as providing advice and assistance to other Division and Commission staff whose work has broad legal and policy implications and may require formulating policy alternatives, and analyzing the legal aspects of such alternatives.