Regulatory Counsel

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-16: Applicant must have at least four years post-J.D experience identifying legal issues, providing legal analyses, providing legal solutions/recommendations, and preparing legal documents, such as contracts, dispositions, pleadings, and motions, which also includes at least three years: Providing legal advice on issues related to the laws, rules, regulations and policies of the federal securities laws (e.g., the Securities Act of 1933 and the Securities Exchange Act of 1934) as they relate to financial institutions, such as investment advisers and investment companies; broker-dealers; transfer agents; exchanges; clearing agencies; and/or other registered entities.; AND Researching, preparing, and delivering guidance on a variety of legal issues arising from interpretation and application of federal securities laws, rules and regulations; AND Drafting and editing memoranda, filings or other substantive written work product for various audiences on a variety of legal issues involving federal securities laws, rules and regulation.

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: IA/IC: Assessment of investment Advisors (IAs) and Investment Companies (ICs): Utilizes knowledge of the Investment Advisers and Investment Company Act of 1940 (the "Rules") and expertise in IA/IC to identify deficiencies during examinations and produce recommendations for improvement Competency 2: Information Gathering: Ability to gather and process large amounts of information and make connections to understand possible deficiencies Competency 3: Teamwork and Collaboration: Interacts with internal and external others in a manner that advances examinations and SEC goals and objectives.

Competency 4: Managing Information: Ability to ensure that programs strategically utilize and share information, with some guidance

The mission of EXAMS is to protect investors, ensure market integrity and support responsible capital formation through risk-focused strategies that: (1) improve compliance; (2) prevent fraud; (3) monitor risk; and (4) inform policy. The results of the Division's examinations are used by the SEC to inform rule-making initiatives, identify and monitor risks, improve industry practices and pursue misconduct.

As a Regulatory Counsel, you will be responsible for: Developing recommendations and reports, presenting and defending findings, and collaborating as required with key stakeholders in connection with the activities of the SEC's Division of Examinations, including other divisions and offices within the Commission, and other domestic and foreign securities and financial regulators; Providing legal advice, leadership, and assistance to examiners, accountants, and attorneys in connection with complex examinations of investment companies, investment advisers, and other SEC registrants; Interpreting and applying federal securities laws, rules, and regulations including, the Securities Act of 1933, the Securities Exchange Act of 1934, the Investment Advisers Act of 1940, and the Investment Company Act of 1940; Developing and conducting internal training on topics such as substantive legal issues, examination process, and internal Commission rules, policies, and procedures; Representing the Division of Examinations at briefings and meetings with other divisions and offices within the Commission, and other domestic and foreign securities and financial regulators; and Representing the Division of Examinations by speaking at internal and external conferences and industry events.