Attorney, Compliance, Information Technology, Securities
The U.S. Securities and Exchange Commission is looking for the best and brightest to join our team. Our mission includes advocating for investors who seek to secure a future for their family, providing guidance and regulations for the nation's securities industry in an increasingly global market, and taking action with an eye toward promoting the capital formation necessary to sustain economic growth.
This position is in the Office of the Ethics Counsel located in Washington, DC.
Office of the Ethics Counsel: Oversees compliance with Federal ethics law, including the Government Wide Standards of Conduct, related federal statutes, Office of Government regulations, and Commission requirements. The office provides advice and policy guidance to present and former Commission members and employees on a variety of issues, including personal and financial conflicts of interest, securities holdings and transactions by Commission employees and their immediate families, gifts, seeking and negotiating other employment, outside activities, and financial disclosure. The Ethics staff also drafts, comments on, and implements regulations concerning ethical conduct issues.
If selected, you will join a well-respected team that is responsible for providing legal advice in the area of ethics or compliance laws.
Typical Duties Include:
Serves as a senior management compliance attorney providing direction and oversight for a staff serving as the legal counsel for the area of business and personal ethics.
Oversees and supervises the agency's Personal Trading Compliance System (PTCS).
Addresses question of law on the SEC's supplemental regulations and makes policy decisions to assure legal advice, opinions rendered, and determinations made to ensure the propriety of SEC actions, policies, practices, and positions under pertinent ethics statutory and regulatory provisions.
Supervises and leads the agency's compliance testing program to insure agency employees are complying with applicable SEC ethics regulations.
Audits and evaluates compliance of SEC personnel through review of brokerage statements, financial disclosure forms and PTCS data.
Maintains a high profile throughout the SEC in practicing and promoting preventive law by exercising exceptional initiative, ingenuity, and resourcefulness in foreseeing legal impediments to the accomplishment of mission objectives and developing solutions to those impediments.
Assures that SEC executive management is made aware of existing and potential legal issues and other legislation and regulations impacting the SEC ethics program and agency operations.
Assures the fulfillment of requirements for a quality legal product and the continued development of subordinates to meet changing legal requirements and contingencies.
Conditions of Employment
You must possess a J.D. or LL.B Degree
You must be an active member of the bar in good standing
This position is open to all U.S. citizens and persons lawfully admitted for permanent residence and seeking citizenship as outlined in 8 U.S.C. 1324b(a)(3)(B)
Application procedures are specific to this vacancy announcement. Please read all the instructions carefully. Failure to follow the instructions may result in you not being considered for this position.
Supplementary vacancies may be filled in addition to the number stated in this announcement.
This position has promotion potential to the SK-17.
TRIAL PERIOD: This appointment may require completion of a two-year supervisory trial period.
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.
This position is not in the collective bargaining unit.
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. Additional qualifications information can be found here. 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-17: Applicant must have four year(s) of post J.D. work experience as a practicing attorney, three year(s) of which includes experience: 1) providing advice and oversight of a formal ethics compliance program for a financial-industry organization; 2) developing policy guidance for the interpretation, and application of ethical and regulatory compliance requirements relative to a financial-industry organization's personnel; 3) analyzing, interpreting, and applying ethics and compliance regulations and policies to resolve issues; and 4) preparing reports and briefing papers to senior management officials on ethics and compliance matters.