The Division of Enforcement investigates possible violations of securities laws, recommends Commission action when appropriate, either in a federal court or before an administrative law judge, and negotiates settlements. This position is located in the Enforcement Division's Office of Market Intelligence (OMI).

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. Typical duties include: Analyzing tips, complaints, referrals, suspicious activity reports, and other case leads and information sources to determine and identify credible allegations of potential securities law violations and the applicable regulation or law allegedly violated. Performing in-depth research of subjects, claims, and events, and collecting, compiling, organizing, and analyzing related data and information from a variety of internal and external sources and databases for use in the development and assessment of leads and in any resulting investigations or examinations. Determining the quality, accuracy and relevance of information or data, analyzing information to identify relationships and trends, and integrating and synthesizing multiple sources of facts or data to reach reasonable findings and conclusions and identify potential fraud and wrongdoing. Preparing written analyses and findings, applying law to facts and evidence, and making recommendations regarding the further consideration, assignment, and disposition of TCRs and other leads. Preparing memoranda that clearly document and communicate research, interviews, communications, analysis, findings, assessments, recommendations, dispositions, and assignments. Providing management and other stakeholders with advice and work products exhibiting knowledge, subject matter expertise, insight, and understanding of relevant law and facts and analysis identifying risks, trends, and other developments. Supporting or conducting coordination with and outreach efforts to other agencies; making and receiving case referrals; coordinating or participating in internal and external task forces, initiatives, and other committees. Conducting training of staff and contractors; supporting the intake, entry, review, and processing of TCRs and other case leads and related information or data. Organizing work, setting priorities, and determining short- or long-term goals and strategies to achieve them. Developing innovative solutions to address issues and problems or involving novel or unexplored questions of law or policy.

Requirements

• CITIZENSHIP: You must be a US Citizen.
• You must possess a J.D. or LL.B Degree and You must be an active member of the bar in good standing.
• This position is open to current permanent SEC employees within the Division of Enforcement and current permanent SEC employees within an SEC Regional Office Regional Operations Program.
• 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-14.
• 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 meeting the basic requirement, applicants must also meet the minimum qualification requirement. SK-14: Applicant must have one year of specialized experience equivalent to the GS/SK-13 level. Specialized experience includes: independently identifying legal issues, providing legal analyses, providing legal solutions/recommendations, and preparing legal documents, such as contracts, dispositions, pleadings, and motions, which also includes: (1) Analyzing complex legal and factual issues; and (2) Conducting investigations and developing recommendations relating to violations of the federal securities laws; and (3) Conducting civil cases in United States District Courts or proceedings before administrative law judges.

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 Enforcement 100 F Street NE Washington, DC 20549 US
• Name: ask HR
• Email: [email protected]