Attorney - Enforcement Liaison
What you'd do
The Division of Trading and Markets (TM) is seeking an Attorney - Adviser (Attorney - Enforcement Liaison) for its Office of Legal Counsel and Enforcement Liaison. This office is TM's primary liaison with the Division of Enforcement and is also responsible for issues affecting market intermediaries. Your work will require excellent analytical skills and attention to detail.
Major duties
The successful applicant will display a high level of initiative and commitment towards completing assignments in a timely manner, a keen ability to apply existing law to novel facts and will be independently motivated to achieve results. In this role as a Attorney - Enforcement Liaison, you will be responsible for: Analyzing questions relating to Enforcement matters involving a range of TM-administered statutory provisions and rules that may arise across a range of business models and activities, as well as potential overlap with other regulated entities such as investment advisers and municipal securities dealers. Providing legal guidance to the Division of Enforcement in its investigations and enforcement matters relating to, among other things, broker-dealer status issues, Regulation Best Interest, crypto asset as securities, anti-money laundering obligations, and more generally the statutes and rules administered by the Division of Trading and Markets. Assisting and providing support and advice regarding TM's oversight of broker-dealers and other market intermediaries. Developing and preparing guidance and facilitating action on complex legal and policy issues arising from the interpretation and application of the federal securities laws and the rules and regulations promulgated thereunder. 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. Consulting and coordinating with other regulators, Self Regulated Organizations (SROs), broker-dealers, and other financial market participants, as well as other staff in the Commission and TM as necessary and appropriate to complete assignments.
What you need to qualify
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 : 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, 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: Competency 1: Legal and Regulatory Analysis: Conducts analysis and prepares documents and reports in compliance with Federal law that governs the rulemaking process. Competency 2: Teamwork and Collaboration: Interacts with internal and external others in a manner that advances SEC goals and objectives. Competency 3: Critical Thinking: Considers a variety of factors, general and subject matter-specific, when making decisions and determining next steps in a case. Competency 4: Rule Development: Prepares recommendations for rules that meet desired policy objectives within the Commission's statutory authority or that implement legislation.
Before you apply
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