The Division of Trading and Markets (TM) establishes and maintains standards for fair, orderly, and efficient markets and regulates major securities market participants (broker-dealers, self-regulatory organizations (also known as SROs, which include securities exchanges, FINRA, and clearing agencies), security based swap dealers, transfer agents, or other registrants). TM is organized according to subject areas, and Attorney-Advisers work on a variety of matters under an office's jurisdiction.
All qualification requirements must be met by the closing date of this announcement. 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. 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 (3) 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, dispositions, pleadings, and motions, which also includes at least two (2) years of: Interpreting, applying, and explaining the provision of the laws, rules, and regulations that govern the securities industry in general, in particular, the Securities Exchange Act of 1934; AND Collaboration on the evaluation of legal and policy issues, addressing securities law, analyzing and explaining the application of legal principles and precedents, and collaborated on developing and justifying recommendations or conclusions as it pertains to securities law.
If selected, you will join a well-respected team that is responsible for: Working knowledge of the broker-dealer financial responsibility rules (as defined in the Securities Exchange Act of 1934). Developing and preparing guidance and facilitating action on complex legal and policy issues arising from the interpretation and application of the federal securities laws in general and the broker-dealer financial responsibility rules in particular. 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. Participating in the development and implementation of regulatory initiatives, including Commission rulemaking, exemptive requests, interpretive guidance, staff studies, and other Commission or staff initiatives. Assisting and providing support and advice regarding TM's oversight of broker-dealers. Consulting and coordinating with other regulators, SROs, broker-dealers, transfer agents, and other financial market participants, as well as other staff in the Commission and TM as necessary and appropriate to complete assignments.