Regulatory Counsel

Securities and Exchange Commission; New York (NY); On-site; USD 140,000 - 170,000; Full time

Job summary

Securities and Exchange Commission seeks an Attorney-Advisor (Regulatory Counsel) for the Broker-Dealer Exchanges Program (BDX) in New York, NY. The role supports nationwide examinations of broker-dealer entities and investment advisers under securities laws.

Qualifying experience includes advising on federal securities laws, preparing legal analyses, and drafting pleadings, memoranda, and other written work; bar membership is required.

Qualifications

• Must have J.D. or LL.B. and active bar membership in good standing.
• At least four years post-J.D. experience with legal issues, analyses, and preparing legal documents.
• Experience with federal securities laws and guidance related to investment advisers, brokers, and registered entities.

Responsibilities

• Identify legal issues and provide analyses and solutions for federal securities laws.
• Draft and edit memoranda, filings, dispositions, pleadings, and motions for various audiences.
• Provide legal guidance on issues arising from interpretation and application of federal securities laws.

Skills

Legal research

Legal writing

Regulatory compliance

Advisory/consulting

Public sector experience

Education

J.D. or LL.B. degree

Job description

The Division of Examinations, is seeking an Attorney-Advisor (Regulatory Counsel), SK-0905-16 for the Broker-Dealer Exchanges Program (BDX) in New York, NY. As a Regulatory Counsel, you will join a well-respected team that is responsible for supporting EXAMS' mission to conduct and coordinate the nationwide examination program for broker dealer entities or investment advisors/investment companies over which the Commission has regulatory authority.

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 at least four years 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 three years:

1. Providing legal advice on issues related to the laws, rules, regulations and policies of the federal securities laws (e.g., the Securities Act of 1933 and the Securities Exchange Act of 1934) as they relate to financial institutions, such as investment advisers and investment companies; broker-dealers; transfer agents; exchanges; clearing agencies; and/or other registered entities.; AND
2. Researching, preparing, and delivering guidance on a variety of legal issues arising from interpretation and application of federal securities laws, rules and regulations; AND
3. Drafting and editing memoranda, filings or other substantive written work product for various audiences on a variety of legal issues involving federal securities laws, rules and regulation.

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: BDX: Assessment of Broker-Dealer Exchange Program Registrants: Uses expertise in broker-dealer exchange program to identify deficiencies during examinations and produce recommendations for improvement.
• Competency 2: Information Gathering: Ability to gather and process large amounts of information and make connections to understand possible deficiencies
• Competency 3: Teamwork and Collaboration: Interacts with internal and external others in a manner that advances examinations and SEC goals and objectives.
• Competency 4: Managing Information: Ability to ensure that programs strategically utilize and share information, with some guidance.