Clarification from the agency

This position is open to: Well-qualified surplus/displaced SEC employees (i.e., CTAP) in the local area and current Division of Examinations (EXAMS) employees

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.

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 broker dealer entities or investment advisors/investment companies over which the Commission has regulatory authority.

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.

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/).
• 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. Qualifying education must have been obtained from an accredited college or university recognized by the U.S. Department of Education. 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 one year of specialized experience equivalent to the GS/SK-14 level. Specialized experience includes:

1. Providing legal advice on issues related to the laws, rules, regulations and policies of the federal securities laws (e.g., the Investment Advisers Act of 1940) as they relate to financial institutions, such as investment advisers and investment companies; AND
2. Researching, preparing, and delivering guidance on a variety of legal issues arising from interpretation and application of federal securities laws, rules and regulations; AND
3. 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:

• Assessment of investment Advisors (IAs) and Investment Companies: 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.
• Information Gathering: Ability to gather and process large amounts of information and make connections to understand possible deficiencies.
• Teamwork and Collaboration: Interacts with internal and external others in a manner that advances examinations and SEC goals and objectives.
• Managing Information: Ability to ensure that programs strategically utilize and share information, with some guidance.

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 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 upload 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:
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/12953272

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: 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.

SEC EMPLOYEES: OHR will verify your competitive service eligibility via the SEC's personnel database.

Next steps