Senior Counsel

Clarification from the agency

US Citizens

Multiple positions are posted in the Office of the General Counsel's Enforcement Litigation Group, which advises the General Counsel, the Commission, and the Division of Enforcement in connection with enforcement matters, the operation of the Commission's whistleblower program, and the application of Commission Rule of Practice 102(e), 17 C.F.R. § 201.102(e), with respect to potential attorney misconduct.

For clarity, duties of attorneys within the group are informally grouped below by practice. During the application process, applicants may indicate interest in any combination of the following practices:

• Enforcement Review - Legal counsel for enforcement matters
• Whistleblower Review - Legal counsel for whistleblower matters
• Litigation and Professional Misconduct - Legal counsel for matters involving Commission Rule of Practice 102(e), 17 C.F.R. § 201.102(e), with respect to potential attorney misconduct

As members of the broader Enforcement Litigation Group, attorneys selected may be asked to perform work across the informal practice categories and on special projects.

In this role as a Senior Counsel, you will perform the following duties:

Overall:

• Provide advice on complex and difficult matters involving the application of federal securities laws.
• Conduct legal research and analysis of complex matters, particularly with respect to enforcement matters, often under tight deadlines.
• Work collaboratively with other divisions and offices in the Commission to assess developing legal issues and, as needed, provides briefings to supervisors in the Office of the General Counsel regarding such issues.
• Work collaboratively with members of the Office of the General Counsel and others to develop recommendations in response to developing legal issues.

Enforcement Review:

• Review recommendations from the Division of Enforcement concerning enforcement of federal securities laws.
• Work on other assignments or projects concerning the federal securities laws more broadly.

Whistleblower Review:

• Provide legal analysis and guidance concerning the Commission's whistleblower rules and claims processing procedures.
• Review recommendations from the Office of the Whistleblower and preliminary determinations by Claims Review Staff in connection with the processing of claims for whistleblower awards.

Litigation and Professional Misconduct:

• Conduct investigations into whether attorneys have engaged in misconduct that warrants the institution of administrative proceedings pursuant to Commission Rule of Practice 102(e) to suspend the attorneys from appearing and practicing before the Commission.
• Advise on matters involving remedies for possible securities law violations by attorneys, including whether to recommend Rule 102(e) suspensions of such attorneys, whether to recommend potential settlements of such suspensions, and whether to prepare and send a referral to the Office of the Inspector General or state bar officials.
• Additional duties may include work on special projects, including certain cross-office projects.

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.
• The selectee is required to report to the duty station(s) listed.

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.

1. Conducting legal research and analysis of matters relating to federal securities laws;
2. Providing legal advice (both written and oral) and analysis of legal issues; and
3. Conducting investigations and/or playing an active role in litigation.

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: Workload Management- Prioritizes workload in a way that accommodates unforeseen developments and achieves successful outcomes.
Competency 2: Teamwork and Collaboration - Interacts with internal and external stakeholders in a manner that advances agency goals and objectives.
Competency 3: Legal Analysis and Advice - Utilizes expert legal knowledge to apply relevant law to the facts of each matter and effectively communicates advice based on that analysis.
Competency 4: 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.

You will be evaluated for this position based on how well you meet the qualifications listed in this announcement.

Your resume and application package will first be reviewed to determine whether you meet the minimum qualification requirements outlined in the announcement. Please do not submit an Accomplishment Record at this time.

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. A response is required even if an Accomplishment Record was submitted at time of application. 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.

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/13062397

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: Unofficial Transcripts - Applicants must submit unofficial transcripts, as outlined under the "Education" section, with their application, demonstrating that they satisfy the specified degree and coursework requirements. If selected for the position, candidates will be required to provide an official transcript showing the degree conferred date, certificate of good standing proof of active bar membership in good standing (i.e. certificate of good standing).

Next steps