Attorney - Broker-Dealer Finance

Summary

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.

Duties

OPR works closely with other federal regulators, self-regulatory organizations (SROs), state securities regulators, and investor advocacy and industry groups. In addition to these matters and those listed below, OPR assists TM staff on various projects, including legal, policy, and administrative matters, as well as leading and/or facilitating special projects across TM, including matters involving multiple offices within and outside the Division. In this role as an Attorney - Broker-Dealer Finance, you will be responsible for: Carrying out a wide variety of duties relating to broker-dealers, 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 and editing responsibilities. Reviewing and evaluating interpretive/no-action requests regarding broker-dealer operations and financial responsibility; Drafting responses to interpretive/no-action requests regarding broker-dealer operations and financial responsibility; Reviewing and evaluating self-regulatory organization rule filings related to matters such as margin requirements; Reviewing and evaluating preliminary examination findings and enforcement cases related to broker-dealer operations and financial responsibility; Participating in emerging matters involving the intersection of non-security crypto assets and broker-dealer financial responsibility requirements, including interpretive/no-action requests and rulemaking; Participating in meetings with other US and international regulators regarding supervision and resolution matters related to broker-dealers; and Assisting with the administration of matters arising under the Securities Investor Protection Act of 1970. Qualifications

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: 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: 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.

Education

You MUST provide transcripts or other documentation to support your educational claims. Unless otherwise stated: (1) official or unofficial transcripts are acceptable, or (2) you may submit a list with all your courses, grades, semester, year, and credit for the course. If you are qualifying for this position by substituting education or training for experience, you must submit a copy of your unofficial transcripts or equivalent by the closing date of the announcement. Qualifying education must have been obtained from an accredited college or university recognized by the U.S. Department of Education. Internal Applicants: OHR will verify education qualifications for internal applicants using documents in the Electronic Official Personnel Folder (eOPF). If required transcripts or certificates are not present in your eOPF, you will be required to provide them to OHR. If selected, a start date will not be established until official transcripts are received. FOREIGN EDUCATION: If you are using education completed in foreign colleges or universities to meet the qualification requirements, you must show the education credentials have been evaluated by a private organization that specializes in interpretation of foreign education programs. For more information, click here. Applicants may also find the following helpful: National Association of Credential Evaluation Services (NACES) is an association of 19 credential evaluation services with admission standards and an enforced code of good practice. Association of International Credentials Evaluators (AICE) is an association of 10 credential evaluation services with a board of advisors and an enforced code of ethics. How You Will Be Evaluated

You will be evaluated for this position based on how well you meet the qualifications listed in this announcement. Your resume and application package will first be reviewed to determine whether you meet the minimum qualification requirements outlined in the announcement. Please do not submit an Accomplishment Record at this time. If you are found minimally qualified, the Office of Human Resources will contact you to request an Accomplishment Record. You will have 3 business days from the date of the request to submit it. Failure to submit the Accomplishment Record on time will remove you from further consideration. A response is required even if an Accomplishment Record was submitted at time of application. Because of the short turnaround time, you are strongly encouraged to begin preparing your Accomplishment Record in advance. Once your Accomplishment Record is received, a rating panel will review both your resume and your narrative responses. Your Accomplishment Record must clearly demonstrate your proficiency in the competencies listed in the Qualifications section. Click here for guidance on writing your Accomplishment Record. Your resume must provide evidence that supports the claims in your Accomplishment Record. Each narrative must describe one specific, relevant example from your experience or training. Responses are limited to 300 words per competency; any text beyond this limit will not be reviewed. Accomplishment Record Format: Competency Title Position title and dates from your resume that this experience was obtained Describe the situation (i.e., the challenged faced, the problem solved) Describe the specific actions you took State the outcome, results, or long-term impact of your accomplishment Name and email address of someone who can verify this information Reference checks may be conducted as part of the final selection process, and you will be notified before any contacts are made. Basis for Rating: The rating panel will evaluate applicants' accomplishment records and resume, then place them into one of the following categories: Highly Qualified - Meets the minimum qualification requirements and has extensive skills and experience in most of the job related competencies. Well Qualified - Meets the minimum qualification requirements and has a moderate amount of skills and experience in most of the job related competencies. Qualified - Meets the minimum qualification requirements, but may have a limited amount of experience in several of the job related competencies. Top ranked applicants will be referred to the hiring office for further review and consideration. The hiring office may directly contact recommended candidates for interview(s). To preview the Questionnaire, click https://apply.usastaffing.gov/ViewQuestionnaire/13081202 Other Information

Supplementary vacancies may be filled in addition to the number stated in this announcement and may be filled from any division or office within the agency. SEC COMPENSATION PROGRAM: Total salary (base pay + locality) is dependent upon duty location. The overall salary range listed above is provided for informational purposes; a selectee's initial pay will be established below the maximum rate of the range. The pay for current SEC employees will be determined according to the procedures specified in the agency's policy. Please click here for a compensation overview. Disability Employment: For information on disability appointments, click here. Reasonable Accommodation: If you are an applicant who needs a reasonable accommodation to participate in the SEC application process due to a medical disability, please contact [email protected]. For religious-based accommodations, please contact [email protected] . Please be sure to submit your request at least 5 business days in advance of the date you need the requested accommodation. Equal Employment Opportunity (EEO) Information for SEC Job Applicants: For more information, please click here. The Fair Chance Act prohibits specific inquiries concerning an applicant's criminal or credit background unless the hiring agency has made a conditional offer of employment to the applicant. An applicant may submit a complaint, or any other information, to the agency within 30 calendar days of the date of alleged non-compliance by contacting the Legal and Policy Office in the Office of Human Resources at [email protected].