About this role
Job SummaryThe Division of Trading and Markets (TM), Office of Market Supervision (OMS) is seeking a Supervisory Attorney Adviser (Assistant Director). OMS broadly focuses on market structure for equities, derivatives, and fixed income and securities-based trading platforms such as national securities exchanges, security-based swap execution facilities, security futures exchanges, and alternative trading systems. The office oversees rules and policy related to the national market system.
QualificationsApplicants 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:SK-17: Applicant must have at least one year of specialized experience equivalent to the GS/SK-14 level: Interpreting and explaining the provisions of the securities laws, rules, and regulations related to the Securities Exchange Act of 1934 as they apply to securities exchanges, alternative trading systems, security futures exchanges, security-based swap execution facilities, national securities associations, or market participants; and Providing advice and guidance in the evaluation of legal, regulatory, and policy matters, including the application of legal principles and precedents, relating to the regulation of financial markets or market participants by analyzing the factual and legal issues involved, and Developing and justifying recommendations or conclusions by authoring legal documents and briefing senior personnel. 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: Rule Development: Prepares recommendations for rules that meet desired policy objectives within the Commission's statutory authority or that implement legislation. Competency 2: Critical Thinking: Considers a variety of factors, general and subject matter-specific, when making decisions and determining next steps in a case. Competency 3: Legal and Regulatory Analysis: Conducts analysis and prepares documents and reports in compliance with Federal law that governs the rulemaking process. Competency 4: Workload Management: Effectively prioritizes workload in a way that accommodates unforeseen developments and achieves successful outcomes.
Major DutiesIn this role as an Assistant Director, you will be responsible for: Planning, directing, and supervising a program of regulation of the securities industry, both directly and through supervision of industry self-regulation; managing projects that may involve review and analysis of significant rule change proposals submitted by self-regulatory organizations (SROs), the development and implementation of Commission rulemaking to address issues in the national market system issues, or requests for interpretation of or relief from the Federal securities laws. Performing the administrative and human resource management functions relative to the staff supervised; planning, scheduling, and assigning work to subordinates. Establishing guidelines and performance expectations for staff members; providing feedback and periodically evaluating employee performance. Providing advice, counsel, and instruction to staff members and organizing task forces consisting of attorneys and other professionals within the office and across the Commission. Assisting the senior staff in the Division, and other offices and divisions in the Commission, on a wide array of matters relating to securities and financial markets. Participating in advising on policy matters relating to the securities and financial markets and provide technical assistance in the development and implementation of major SEC initiatives in the securities area. Leading staff teams in the preparation of legal and regulatory materials; summarizes factual and legal issues involved; briefing Commission and TM leadership; and presenting recommendations as to proper course of action. Assisting the Director, the Deputy Director, and the Associate Directors in developing additional rules, regulations, and policies designed to ensure appropriate and effective oversight of national securities exchanges, national securities associations, security-based swap execution facilities, broker-dealers, alternative trading systems, securities information processors, and other regulated entities. Providing professional legal advice and guidance to a range of individuals in SEC and other agencies as appropriate. Advising on questions of structure and operations of the national securities exchanges, the Financial Industry Regulatory Authority (FINRA) and the Municipal Securities Rulemaking Board (MSRB) or the implementation of new regulatory initiatives and policy that affect their operations; serves as SEC's representative for discussions regarding assigned program areas.