Clarification from the agency

US Citizens

As an Attorney - Broker-Dealer Status and Regulation, your work may involve assisting with SEC rulemakings, Self-Regulatory Organization (SRO) rule filings, providing advice to senior management and other offices, and representing the agency in discussions with external parties. The successful applicant will display a high level of initiative and commitment towards completing assignments in a timely manner and will be independently motivated to achieve results.

In this role as an Attorney - Broker-Dealer Status and Regulation, you will be responsible for:

• Assisting and providing support and advice regarding TM's oversight of broker-dealers and other market participants.
• Analyzing questions relating to broker-dealer status and applicable regulatory obligations that may arise across a range of business models and activities, including brokers, dealers and government securities dealers, "finders," "M&A Brokers," online platforms, crowdfunding intermediaries, technology providers and personal services entities, as well as potential overlap with other regulated entities such as investment advisers and municipal advisors.
• Participating in the development and implementation of regulatory initiatives, including Commission rulemaking, and other Commission or staff initiatives implicating Section 15(a) of the Securities Exchange Act of 1934 ("Exchange Act") and related regulatory obligations.
• Providing guidance and analyzing questions regarding the application of the Exchange Act and the rules thereunder to activities related to exchange-traded funds (ETFs).
• Developing and preparing guidance and facilitating action on complex legal and policy issues arising from the interpretation and application of the federal securities laws and the rules and regulations promulgated thereunder.
• Reviewing, analyzing, and interpreting new legislative initiatives, Congressional mandates, Commission or Court decisions, actions taken by other regulators, and other events that may affect the securities markets and that implicate various sections of the Exchange Act.
• Consulting and coordinating with other regulators, SROs, broker-dealers, and other financial market participants, as well as other staff in the Commission and TM as necessary and appropriate to complete assignments.

Conditions of employment

• 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.

Qualifications

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-14: Applicant must have three 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 two years of either:

1. 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; OR
2. Developing and justifying recommendations or conclusions related to federal, state, or local law regarding financial institutions, including experience gained through relevant litigation or enforcement activities, 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:

• Rule Development: Prepares recommendations for rules that meet desired policy objectives within the Commission's statutory authority or that implement legislation.
• Legal and Regulatory Analysis: Conducts analysis and prepares documents and reports in compliance with Federal law that governs the rulemaking process.
• Teamwork and Collaboration: Interacts with internal and external others in a manner that advances SEC goals and objectives.
• Critical Thinking: Considers a variety of factors, general and subject matter-specific, when making decisions and determining next steps in a case.

How you will be evaluated

You will be evaluated for this job based on how well you meet the qualifications above.

Your resume and application package will be reviewed to determine whether you meet the qualification requirements outlined in this announcement.

Your qualifications will be assessed through a two-step screening process:

1. Minimum Qualifications Resume Review
2. Accomplishment Record Review

If you are found minimally qualified through the minimum qualifications review, a rating panel will review your resume and Accomplishment Record narratives. Accomplishment Record narrative should clearly demonstrate your proficiency in the competencies listed in the Qualifications section. Submitting a Performance Appraisal does not fulfill the requirement for an Accomplishment Record. Click here for help with writing your Accomplishment Record.

Your resume must provide evidence that supports the claims made in your Accomplishment Record narratives; both documents must effectively showcase your qualifications. Each competency narrative should detail one specific, relevant example from your training or experience. Please limit each response to a maximum of 300 words, as any text beyond this limit will not be considered during the evaluation. You will upload one document with your narrative responses addressing each of the four competencies. Your responses must be in the below format:

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

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/12931149

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: Accomplishment Record - The Accomplishment Record is a set of narrative responses that demonstrate your proficiency in the competencies listed. These narratives support your resume by providing specific examples from your training or experience. For each competency, you must provide a 300 word or less written narrative (text only) describing one example of competency-related experience. Text beyond this limit will not be considered. This document must be uploaded to the application under Accomplishment Record. An accomplishment record submitted outside the USA Staffing system will not be accepted. Failure to provide the Accomplishment Record in the correct format will result in an ineligible rating.
• 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.

Next steps