Attorney - Broker-Dealer Finance

Securities and Exchange Commission; Washington (District of Columbia); On-site; USD 120,000 - 140,000; Full time

Job summary

The Securities and Exchange Commission seeks an Attorney-Adviser for the Broker-Dealer Finance function within the Office of Policy Regulation and Inspection. The role supports the Division of Trading and Markets and involves legal analysis, rule development, and enforcement-oriented regulatory activities in a federal setting.

Qualified applicants must have a J.D. or LL.B., active bar membership, and at least three years of post-J.D.

Qualifications

• J.D. or LL.B. degree required.
• Active bar membership in good standing in any state, DC, or Puerto Rico.
• At least three years post-J.D. experience, with independent legal issues identification and drafting legal documents.

Responsibilities

• Competency 1: Rule Development—prepare rule recommendations within statutory authority.
• Competency 2: Legal and Regulatory Analysis—analyze and report in compliance with Federal law for rulemaking.

Skills

Rule Development

Legal Analysis

Teamwork

Critical Thinking

Education

J.D. or LL.B.

Job description

The Division of Trading and Markets (TM), Office Broker-Dealer Finance (OBDF), is seeking an Attorney-Adviser (Attorney - Broker-Dealer Finance) for its Office of Policy Regulation and Inspection (formerly the Office of Broker-Dealer Financial Responsibility) (OPR). OPR administers wide-ranging elements of TM's financial responsibility regulatory program for broker-dealers.

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 at least three (3) year(s) of post J.D. work experience, independently identifying legal issues, providing legal analyses, providing legal solutions/recommendations, and preparing legal documents, such as legal memoranda and presentations, which also includes at least two (2) years:

1. 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
2. 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:

• Competency 1: Rule Development: Prepares recommendations for rules that meet desired policy objectives within the Commission's statutory authority or that implement legislation.
• Competency 2: Legal and Regulatory Analysis: Conducts analysis and prepares documents and reports in compliance with Federal law that governs the rulemaking process.
• Competency 3: Teamwork and Collaboration: Interacts with internal and external others in a manner that advances SEC goals and objectives.
• Competency 4: Critical Thinking: Considers a variety of factors, general and subject matter-specific, when making decisions and determining next steps in a case.