Job Title: ATTORNEY ADVISER

Summary

The mission of the Division of Examinations 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.

Learn more about this agency

Overview
Accepting applications

Open & closing dates
05/12/2023 to 05/25/2023

Salary
$84,301 - $179,584 per year Starting salary is based on experience. The range is listed for informational purposes. Initial pay will be set below the maximum. See more below.

Pay scale & grade
SK 11 - 12

Locations
1 vacancy in the following locations:
Washington

Chicago

New York, NY Remote job
No

Telework eligible
Yes-as determined by the agency policy.

Travel Required
Occasional travel - You may be expected to travel for this position.

Relocation expenses reimbursed
No

Appointment type
Permanent -

Work schedule
Full-time -

Service
Excepted

Promotion potential
14

Job family (Series)
0905 Attorney

Supervisory status
No

Security clearance
Not Required

Drug test
No

Position sensitivity and risk
High Risk (HR)

Trust determination process
Suitability/Fitness

Announcement number
23-EX-11958461-SMP

Control number
725386500

This job is open to

The public
U.S. Citizens, Nationals or those who owe allegiance to the U.S.

Clarification from the agency
US Citizens

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Duties
If selected, you will join a well-respected team that is responsible for supporting EXAMS' mission to conduct and coordinate the nationwide examination program for entities over which the Commission has regulatory authority.

As an Attorney-Adviser, you will: Participate in planning and conducting securities compliance examinations; Apply judgment and knowledge of the securities industry to FSIO's oversight functions; Provide expert legal analysis and technical support for examinations in areas related to the Financial Industry Regulatory Authority (FINRA), the Municipal Securities Rulemaking Board (MSRB), and broker-dealers registered under the Securities Exchange Act of 1934; Conduct interviews of SRO personnel; Conduct research and analysis of examination-related documents and develop recommendations to resolve problems or issues encountered; Draft precise and well-organized documents such as request lists, scope memoranda, and examination reports and letters detailing findings; As required, work with senior staff to develop and respond to questions on matters of processes, procedures, and policy; and Collaborate with other team members. Work both individually and as part of a team.

Requirements

Conditions of Employment
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-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.

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-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

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

Additional information

Salary Ranges

Chicago, IL
SK-11 - $84,301 - $142820
SK-12 - $101,034 - $171,183

New York City, NY
SK-11 - $88,439 - $149,829
SK-12 - $105,992 - $179584

Washington DC
SK-11 - $86,055 - $145,791
SK-12 - $103,136 - $174,744

SEC COMPENSATION PROGRAM: The overall salary range listed above is provided for informational purposes as it represents the full range that is applicable to current employees in this occupation/grade; however, a selectee's initial pay is always set below the maximum rate of the range. Please click here for additional information.

Disability Employment: For information on disability appointments, please visit http://www.opm.gov/policy-data-oversight/disability-employment/

IMPORTANT INFORMATION FOR SURPLUS OR DISPLACED FEDERAL EMPLOYEES: Career Transition Assistance Plan (CTAP) is available to individuals who have special priority selection rights under this plan. Individuals must be minimally qualified for this position to receive consideration for special priority selection. CTAP eligibles will be considered minimally qualified if they meet the minimum requirements for this position.

Reasonable Accommodation: If you are an applicant who needs a reasonable accommodation for disability to participate in the application process at the SEC, submit the form for Reasonable Accommodation for Participation in Job Application Process here. 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: Federal EEO laws protect all applicants from discrimination on the following bases: race, color, sex (not limited to conduct which is sexual in nature, includes pregnancy, gender identity, sexual orientation, transgender status), age (40 and over), religion, national origin, disability, genetic information, retaliation for participating in the EEO process or opposing discrimination. Applicants who believe they have been discriminated against on any EEO basis can seek recourse through the SEC's administrative complaints process. To be timely, an individual must enter the EEO process within 45 days from when they know (or should have known) of the alleged discrimination. Click here for additional information.

TTY/ASCII: Video Relay Service users are welcome to contact the appropriate SEC office or employee via the contact information listed above. If you do not otherwise have access to a Video Phone or Video Relay service, you may send us an email or use the Federal Video Relay Service via the internet. For more information about using the Federal Relay Service and to create a new account, please see: https://www.federalrelay.us/

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.

How You Will Be Evaluated

You will be evaluated for this job based on how well you meet the qualifications above.
Your resume must support your responses to the occupational questionnaire. If you meet the minimum qualifications stated in the vacancy announcement, your resume will be forwarded to a review panel for consideration. After the review of your resume and application materials, you may be contacted for an interview.

Applicants will be evaluated on the following competencies:
Legal Guidance, Securities Laws and Compliance Guidance, and Technical Communication

The Occupational Questionnaire will take you approximately 10 minutes to complete. To preview the Occupational Questionnaire, click the following linkhttps://apply.usastaffing.gov/ViewQuestionnaire/11958461

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.
As a new or existing federal employee, you and your family may have access to a range of benefits. Your benefits depend on the type of position you have - whether you're a permanent, part-time, temporary or an intermittent employee. You may be eligible for the following benefits, however, check with your agency to make sure you're eligible under their policies.
You must provide a complete Application Package, which includes: Required: Your responses to the Occupational Questionnaire. Required: Your complete and comprehensive resume that includes a complete history of your work experience and the applicable employment dates with months and years. If you are a current or former Federal employee, it is recommended that your resume include the title, series, and grade (e.g. SK-0301-12) for all relevant Federal experience . To determine if you qualify for this position, OHR will review your work history that is relevant to the specific position for which you applied. If you are an external candidate selected for this position, OHR will review your complete work history to establish your starting salary. If you are a current SEC employee selected for this position, the standard percentage increases will be applied (i.e., 6% for non-supervisory and 10% for supervisory positions) if your selection results in a promotion. If your selection results in lateral movement (i.e. no change in grade) you will maintain your current salary. Note : Your resume must directly address the definition of specialized experience listed in the qualification section of this announcement and must NOT contain pictures. For external candidates: Information on how your resume will be used for pay setting purposes can be found here. Required, if applicable: Veteran's documentation (DD-214, member 4 copy or other documentation containing dates of service and character of discharge.) Required, if applicable: CTAP documentation (a copy of a separation notice or other proof of eligibility for priority selection; a copy of an SF-50, Notification of Personnel Action, showing current position, grade, promotion potential, and duty location; AND a copy of your most recent performance appraisal.)

If you are relying on your education to meet qualification requirements:
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.