Securities Attorney

About the company

The Division of Enforcement, Office of Market Intelligence (OMI) is seeking a General Attorney (Securities Attorney). As a Securities Attorney, you will assist OMI with identifying, analyzing, and evaluating allegations of possible violations of securities laws based on Tips, Complaints and Referrals (TCRs), Suspicious Activity Reports (SARs), and other data and intelligence, preparing written analysis and findings, and recommending potential further action or response.

Your tasks

In this role as a Securities Attorney, you will serve in the TCR Review and Bank Secrecy Act Groups, and will primarily be responsible for some or all the following: Analyzing TCRs, SARs, and other case leads and information sources to determine and identify credible allegations of potential securities law violations and the applicable regulation or law allegedly violated. Performing in-depth research of subjects, claims, and events, and collecting, compiling, organizing, and analyzing related data and information from a variety of internal and external sources and databases for use in the development and assessment of leads. Preparing written analyses and findings, applying law to facts and evidence, and making recommendations regarding the further consideration, assignment, and disposition of TCRs, SARs, and other leads. Coordinating with staff in the Division of Enforcement, the Division Corporation Finance, and other SEC offices and divisions regarding the consideration, assignment, and disposition of TCRs, SARs, and other leads. Performing other duties as assigned.

Requirements

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 at least three years post-J.D experience independently identifying legal issues, providing legal analyses, providing legal solutions/recommendations, and preparing legal documents, such as contracts, dispositions, pleadings, and motions which also includes at least two years: Analyzing complex legal and factual issues; AND Conducting investigations and developing recommendations relating to violations of the federal securities law; AND Conducting civil cases in United States District Courts or proceedings before administrative law judges.

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: Legal Analysis: Utilizes expert legal knowledge to apply relevant law to the facts of each case.
• Competency 2: Development and Use of Record: Strategically collects, analyzes, and organizes an evidentiary record.
• Competency 3: Critical Thinking: Considers a variety of factors, general and subject matter-specific, when making decisions and determining next steps in a case.
• Competency 4: Case Management: Manages cases efficiently using best practices.

You MUST provide transcripts or other documentation to support your educational claims. Unless otherwise stated: (1) official or unofficial transcripts are acceptable, or (2) you may submit a list with all your courses, grades, semester, year, and credit for the course. If you are qualifying for this position by substituting education or training for experience, you must submit a copy of your unofficial transcripts or equivalent by the closing date of the announcement. Qualifying education must have been obtained from an accredited college or university recognized by the U.S. Department of 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. For more information, click here. Applicants may also find the following helpful: National Association of Credential Evaluation Services (NACES) is an association of 19 credential evaluation services with admission standards and an enforced code of good practice. Association of International Credentials Evaluators (AICE) is an association of 10 credential evaluation services with a board of advisors and an enforced code of ethics.

How to apply

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.

Internal Applicants: OHR will verify education qualifications for internal applicants using documents in the Electronic Official Personnel Folder (eOPF). If required transcripts or certificates are not present in your eOPF, you will be required to provide them to OHR. If selected, a start date will not be established until official transcripts are received.