Senior Attorney-Adviser

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: In addition to the Basic Requirements, the applicant must have four years of post J.D. experience identifying legal issues, providing legal analyses, providing legal solutions/recommendations, and preparing legal documents, such as filings, memoranda, contracts, pleadings, and motions, which also includes at least three 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, including through relevant litigation or enforcement experience; OR Collaborating on the analysis or evaluation of legal and policy issues addressing securities law to develop recommendations or conclusions as they pertain to securities law, 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.

ODPTP works closely with other federal regulators, self-regulatory organizations ("SROs"), state securities regulators, and investor advocacy and industry groups, and provides technical and policy assistance to both U.S. and foreign regulators on various legislative and regulatory initiatives.

In addition to these matters and those listed below, OTP 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 a Senior Attorney-Adviser, you will be responsible for: Carrying out a wide variety of duties relating to market intermediaries, including leading projects such as rulemaking initiatives and special projects.

Leading projects may include significant drafting responsibilities.

Reviewing, analyzing, and formulating recommendations to managers on statutory or rule interpretations pertaining to, among other things, quotations in the over-the-counter markets, Regulation M and other anti-manipulation provisions related to IPOs and secondary offerings and distributions, research analyst conflicts of interest, issues related to the operation of IDQSs and QIDQSs, and information barriers; and reviewing exemptive and no-action requests.

Reviewing and responding as appropriate to Rule 19h-1 filings submitted by the various SROs. Coordinating the Division's response to questions seeking interpretation and guidance from the public. Interpreting and serving as a resource within TM on issues related to the over-the-counter markets, IPOs and secondary offerings, Regulation M, IDQSs and QIDQSs, Rules 15c2-4 and 10b-9, Rule 10b-18, fictitious quotations, and the Commission's anti-manipulation provisions such as Sections 10(b) and 9(a) of the Exchange Act.

Reviewing and providing advice regarding enforcement recommendations, as well as providing advice and assistance to other Division and Commission staff whose work has broad legal and policy implications and may require formulating policy alternatives, and analyzing the legal aspects of such alternatives. Reviewing and providing advice regarding corporate filings that may raise potential Regulation M issues.