TM establishes and maintains standards for fair, orderly, and efficient markets and regulates the securities market participants, including broker-dealers, self-regulatory organizations (known as SROs, which include stock exchanges, FINRA, and clearing agencies), and transfer agents. Attorney-Advisers will assist on a variety of matters within a particular office's jurisdiction.
In this role as a Junior Attorney - Trading and Markets, you will be responsible for:
- Working with other attorneys and other Division staff on complex matters involving difficult issues of law by conducting research, analyzing legal data, preparing legal memorandums, and assisting in a wide variety of legal support assignments relevant to the specialized functions of the various rulemaking offices.
- Exercising professional judgment in examining and evaluating legal standards under the federal and state laws and rules.
- Verifying facts from SEC records and ensuring the accuracy of legal citations and that final released documents are in proper form.
- CITIZENSHIP: You must be a US citizen.
- SELECTIVE SERVICE: Males born after 12/31/59 must be registered or exempt from Selective Service (see https://www.sss.gov/).
- 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.
- TRIAL PERIOD: Consistent with 5 U.S.C. § 7511, you will be required to serve a two-year trial period (one year for preference eligible veterans) if the position to which you have applied is not the same or similar to your current position of record.
- You must possess a J.D. or LL.B Degree and you must be an active member of the bar in good standing.
- Duplicative applications to this announcement over the period of time the announcement is open will not be considered.
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-11: a J.D. or LL.B. degree AND be an active member of the bar in good standing in any state, territory of the United States, the District of Columbia, or the commonwealth of Puerto Rico.
SK-12: Applicant must possess at least
one year of post-J.D. experience defining legal issues, conducting legal research, and drafting legal documents such as contracts, dispositions, pleadings, and motions.
OR one of the following below:
- A second professional law degree (Master of Law/LL.M.);
- Membership on a law school's journal or law review;
- Membership in the Order of the Coif;
- Graduation in the top 33 percent of law school class;
- One year of significant non-legal work experience in a field related to the position for which the applicant is being considered (e.g., work experience with FINRA or other financial regulatory authority, or other work experience directly applicable to the work of the position for which the attorney is being hired);
- A judicial clerkship following law school graduation; or
- Law Clerk and Legal Intern Appointments
ACCOMPLISHMENT RECORD COMPETENCIES: Your Accomplishment Record narratives should address the following competencies. See the
How You Will Be Evaluated section below for more information:
- Teamwork and Collaboration: Interacts with internal and external stakeholders in a manner that advances agency goals and objectives.
- Workload Management: Prioritizes workload in a way that accommodates unforeseen developments and achieves successful outcomes.
- Critical Thinking: Considers a variety of factors, general and subject matter-specific, when making decisions and determining next steps in a case.
- Legal and Regulatory Analysis: Conducts analysis and prepares documents and reports in compliance with Federal law that governs the rulemaking process.
Applications will be reviewed on a rolling basis. All applicants are required to submit a complete application package by the specified cutoff dates. Incomplete submissions by the bi-weekly cutoff will not move forward in the hiring process. Certificates will be issued on a bi-weekly basis until the announcement's closing date.
Cut Off Dates: June 9th, June 23rd, July 7th, July 21st, August 4th, August 18th, and September 1st.
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.
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].
Candidates should be committed to improving the efficiency of the Federal government, passionate about the ideals of our American republic, and committed to upholding the rule of law and the United States Constitution.
A career with the U.S. government provides employees with a comprehensive benefits package. As a federal employee, you and your family will have access to a range of benefits that are designed to make your federal career very rewarding. Opens in a new windowLearn more about federal benefits.
Review our benefits
Eligibility for benefits depends on the type of position you hold and whether your position is full-time, part-time or intermittent. Contact the hiring agency for more information on the specific benefits offered.
You will be evaluated for this job based on how well you meet the qualifications above.
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. 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. 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.
You must provide one document containing your narrative responses for all four competencies. Failure to address each competency annotated on the announcement or failure to provide the correct document will result in loss of further consideration. Please note: A Performance Appraisal does not satisfy the requirement for an Accomplishment Record.
Required Accomplishment Record Format:
Applicant First Name and Last Name
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/12966920
You must provide a complete Application Package, which includes:
- Required: Your responses to the Questionnaire.
- Required: Resume - Resumes should include relevant work experience, with specific employment dates, that demonstrates qualifications for the specialized experience and competencies as outlined above. If your resume does not reflect demonstrated evidence of these qualifications, you may not receive consideration for the position. Resumes that exceed two pages will be deemed ineligible and receive no further consideration. For resume writing tips, visit USAJOBS and the SEC careers page.
- Required, if applicable: Veteran's documentation (DD-214, member 4 copy or other documentation containing dates of service and character of discharge.)
- Required: Unofficial Transcripts/Registration/License - If education is a qualification for this position, you must submit a copy of your unofficial transcripts with your application. If you are selected for the position, you will need to provide an official transcript along with your certificate of good standing.
Education must be accredited by an accrediting institution recognized by the U.S. Department of Education in order for it to be credited towards qualifications. Therefore, provide only the attendance and/or degrees from schools accredited by accrediting institutions recognized by the U.S. Department of Education.
Failure to provide all of the required information as stated in this vacancy announcement may result in an ineligible rating or may affect the overall rating.
