The Division of Trading and Markets establishes and maintains standards for fair, orderly, and efficient markets. It regulates major market participants, including broker-dealers, self-regulatory organizations (such as stock exchanges, Financial Industry Regulatory Authority, and clearing agencies), and transfer agents.

Duties

At the Securities and Exchange Commission (SEC), we are committed to diversity, equity, inclusion and accessibility (DEIA) and value a workforce that reflects the diverse experiences and perspectives of the communities we serve. As such, we welcome applications from qualified individuals of all backgrounds who share our commitment to public service. The Division also supervises use of approved models; develops market monitoring tools; provides analytical support, product expertise, rule reviews, policy insight; and reviews regulatory filings, risk positioning, internal audit, and liquidity. Top 5 Typical Duties Include: Carry out a wide variety of duties relating to the securities markets and certain market participants, including review and analysis of rule changes submitted by self-regulatory organizations (SROs) and work on rulemaking initiatives and special projects relating to the equity, debt, and derivatives securities markets, the national clearance and settlement system, clearing agencies, transfer agents, and other securities industry participants. Assist the Assistant Director(s), other staff in the Division, and other offices and divisions in the Commission on a wide array of matters relating to the equity, debt, and derivative securities markets, clearing agencies, transfer agents, and other securities industry participants. Advise on regulatory, policy, operational, enforcement, and other matters relating to the national clearance and settlement system, U.S. securities markets, and related international matters and provide technical and legal assistance in the development and implementation of major SEC initiatives in these same areas. Independently analyze, summarize, and convey both verbally and in writing complex factual and legal issues; prepare summaries, memoranda, briefing documents, recommendations, and other materials related to same; prepare and present verbal and written briefings to Commissioners and their staff, as well as the Division Director, Deputy Director, Associate Director, and Assistant Director(s) with respect thereto. Assist senior staff in developing, proposing, and implementing rules, regulations, and policies related to the appropriate and effective oversight and regulation of clearing agencies, transfer agents, and other national clearance and settlement system and securities industry participants; help develop, coordinate, and implement SRO and transfer agent compliance and surveillance programs in a manner consistent with the Commission's mandate under the Exchange Act.

Requirements

• CITIZENSHIP: This position is open to US Citizens.
• You must possess a J.D. or LL.B Degree.
• You must be an active member of the bar in good standing
• Application procedures are specific to this vacancy announcement. Please read all the instructions carefully. Failure to follow the instructions may result in you not being considered for this position.
• Supplementary vacancies may be filled in addition to the number stated in this announcement.
• This position has promotion potential to the SK-16.
• TRIAL PERIOD: This appointment may require completion of a two-year trial period.
• SECURITY CLEARANCE: Entrance on duty is contingent upon completion of a pre-employment security investigation. Favorable results on a Background Investigation may be a condition of employment or selection to another position.
• DRUG TESTING: This position may be subjected to drug testing requirements.
• PERMANENT CHANGE OF STATION (PCS): Moving/Relocation expenses are not authorized.
• DIRECT DEPOSIT: All Federal employees are required to have Federal salary payments made by direct deposit to a financial institution of their choosing.
• This position is in the collective bargaining unit.
• This position is eligible to request telework in accordance with the SEC 's telework policy.
• Existing Participants in the SEC?s Remote Telework Program are eligible to apply for this position. If selected, management will evaluate and communicate whether the position will allow for continued participation in Remote Telework.

Qualifications

All qualification requirements must be met by the closing date of this announcement. 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. Qualifying education must have been obtained from an accredited college or university recognized by the U.S. Department of Education. 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 the Basic Requirements, the applicant must have four years of post J.D. experience as a practicing attorney; three years of which includes experience interpreting and applying the provisions of the laws, rules, and regulations that govern the securities industry, in particular, the Securities Exchange Act of 1934; providing guidance and expertise in the evaluation of legal and policy issues, addressing securities law issues that often lack clearly applicable precedents due to the novelty of the issues, analyzing the factual and legal issues involved; explaining the application of legal principles and precedents, and developing and justifying recommendations or conclusions.

Education

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 and such education has been deemed equivalent to that gained in an accredited U.S. education program; or full credit has been given for the courses at a U.S. accredited college or university. For further information, visit: http://www.ed.gov/about/offices/list/ous/international/usnei/us/edlite-visitus-forrecog.html

Contacts

• Address Division of Trading and Markets 100 F Street NE Washington, DC 20549 US
• Name: ask HR
• Email: [email protected]