Overview

<b>Duties</b><br /><br /><b>Summary</b><br /><br />The Office Compliance Inspections and Examinations administers the SEC's nationwide examination and inspection program for registered self-regulatory organizations, NRSROs, broker-dealers, transfer agents, clearing agencies, investment companies, and investment advisers.<br /> Learn more about this agency <br /><br /><b>Responsibilities</b><br /><br />This position is in the Office of the Technology Controls Program (TCP) within the Office of Compliance Inspections and Examinations. TCP has primary responsibility for oversight and technology examinations of self-regulatory organizations.<br /><br />TCP is seeking to fill two Attorney-Advisers in any of the following locations<strong>: Chicago, IL; New York, NY or</strong><b><strong> Washington, DC</strong></b><br /><br /><strong>As an Attorney-Adviser you will:</strong> <ul> <li>Provide legal advice for difficult and complex programs, issues and problems dealing with nationwide examination or inspection activities for self-regulatory organizations, broker-dealers, transfer agents, clearing agencies, investment companies, and investment adviser;</li> <li>Develop and prepare guidance on a variety of complex legal issues arising from interpretation and application of statutes administered by OCIE which have been referred because of the complexity or sensitivity of the topics involved, precedent setting implications, short suspense time for response, deviation from established regulations, or other unusual actions;</li> <li>Develop responses and provide determinations which best sustain propriety of action, policies, practices, and position under applicable statutory and regulatory provisions;</li> <li>Provide authoritative guidance related to the audits of the self-regulatory organizations under the Automation Review Policy program;</li> <li>Conduct overviews of computer systems of regulated entities, including self-regulatory organizations, to evaluate systems for ability to create a fair market environment for trading, to conduct market surveillance using existing and or planned computer programs, to detect fraud and abuse within the market, and to conduct investigations using the existing or planned system;</li> <li>Provide expert technical, analytical, and management guidance for the planning, review, evaluation, implementation, coordination, and integration of security controls into IT operations and systems; and</li> <li>Participate in market operations reviews, cyber security engineering programs: perform IT security audits at different SROs; and assist with development and maintenance of examination field work materials.</li> </ul> <br /><br /><b>Travel Required</b><br /><br />Occasional travel – You may be expected to travel more than 25%<br /><br />Supervisory status <br /> No <br /><br />Promotion Potential <br /> 14 <br /><br /></li> <b>Requirements</b><br /><br /><b>Conditions of Employment</b><br /><br /><ul> <li>You must possess a J.D. or LL.B Degree.</li> <li>You must be an active member of the bar in good standing.</li> <li>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).</li> <li>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.</li> <li>Supplementary vacancies may be filled in addition to the number stated in this announcement.</li> <li>This position has promotion potential to the SK-14.</li> <li>TRIAL PERIOD: This appointment may require completion of a two-year trial period.</li> <li>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.</li> <li>DRUG TESTING: This position may be subjected to drug testing requirements.</li> <li>PERMANENT CHANGE OF STATION (PCS): Moving/Relocation expenses are not authorized.</li> <li>DIRECT DEPOSIT: All Federal employees are required to have Federal salary payments made by direct deposit to a financial institution of their choosing.</li> <li>This position is in the collective bargaining unit.</li> <li>You may be expected to travel more than 25%</li> </ul> <br /><br /><b>Qualifications</b><br /><br /><strong>All qualification requirements must be met by the closing date of this announcement.</strong><br /><br />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.<br /><br /><strong>BASIC REQUIREMENT: All applicants must possess the following</strong> <ul> <li>J.D. or LL.B. degree –AND–</li> <li>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.</li> </ul> <br /><strong>MINIMUM QUALIFICATION REQUIREMENT: </strong>In addition to meeting the basic requirement, applicants must also meet the minimum qualification requirement.<br /> <strong>SK-13: Applicant must have two year(s) of post J.D. work experience as a practicing attorney, one year of which includes the following:</strong> <li>Providing legal advice on issues related to the rules and policies of Federal securities laws and acts relating to self-regulatory exchanges, broker-dealers, or investment advisers; <strong>AND</strong></li> <li>Developing recommendations and/or reports of findings while interacting with executive management, co-workers, and members of the securities industry to resolve issues; <strong>AND </strong></li> <li>At least one of the following: <ul> <li>Drafting and/or assessing IT related policies and procedures; OR </li> <li>Developing and preparing guidance on a variety of legal issues arising from interpretation and application of federal securities laws, rules and regulations</li> </ul> </li> <br /> <strong>SK-14: Applicant must have three year(s) of post J.D. work experience as a practicing attorney, two year(s) of which includes the following:</strong> <li>Providing legal advice on issues related to the rules and policies of Federal securities laws and acts relating to self-regulatory exchanges, broker-dealers, or investment advisers; <b>AND</b></li> <li>Developing recommendations and/or reports of findings while interacting with executive management, co-workers, and members of the securities industry to resolve issues; <b>AND</b></li> <li>Conducting briefings for management and/or representing the organization at briefings and meetings with other divisions or government agencies or speaking at conferences; <b>AND</b></li> <b>At least one of the following:</b> <ul> <li>Developing and preparing guidance on a variety of legal issues arising from interpretation and application of federal securities laws, rules and regulations with little or no supervision; OR </li> <li>Drafting and/or assessing IT related policies and procedures</li> </ul> </li> <br /><br /><b>Education</b><br /><br /><strong>FOREIGN EDUCATION:</strong> 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 and such education has been deemed equivalent to that gained in an accredited U.S. education program; or full credit has been given for the courses at a U.S. accredited college or university. For further information, visit: http: www.ed.gov/about/offices/list/ous/international/usnei/us/edlite-visitus-forrecog.html <br /><br /><b>Additional information</b><br /><br /><strong>SALARY RANGES:</strong> <ul> <li> <strong>Chicago, IL</strong> <ul> <li>SK-13: $111,419 – $183,231</li> <li>SK-14: $127,936 – $210,391</li> </ul> </li> <li> <strong>New York, NY</strong> <ul> <li>SK-13: $115,778 – $190,400</li> <li>SK-14: $132,942 – $218,623</li> </ul> </li> <li> <strong>Washington, DC</strong> <ul> <li>SK-13: $112,524 – $185,048</li> <li>SK-14: $129,205 – $212,478</li> </ul> </li> </ul> <strong>Disability Employment: </strong>For information on disability appointments, please visit http: www.opm.gov/policy-data-oversight/disability-employment/ <br /><br /><strong>IMPORTANT INFORMATION FOR SURPLUS OR DISPLACED FEDERAL EMPLOYEES: </strong>Career Transition Assistance Plan (CTAP) is available to individuals who have special priority selection rights under this plan. Individuals must be minimally qualified for this position to receive consideration for special priority selection. CTAP eligibles will be considered minimally qualified if they meet the minimum requirements for this position.<br /><br /><strong>Reasonable Accommodation:</strong> If you are an applicant who needs a reasonable accommodation for disability to participate in the application process at the SEC, submit the form for Reasonable Accommodation for Participation in Job Application Process here . Please be sure to submit your request at least 5 business days in advance of the date you need the requested accommodation.<br /><br /><strong>Equal Employment Opportunity (EEO) Information for SEC Job Applicants: </strong>Federal EEO laws protect all applicants from discrimination on the following bases: race, color, sex (not limited to conduct which is sexual in nature, includes pregnancy, gender identity, sexual orientation, transgender status), age (40 and over), religion, national origin, disability, genetic information, retaliation for participating in the EEO process or opposing discrimination. Applicants who believe they have been discriminated against on any EEO basis can seek recourse through the SEC's administrative complaints process. To be timely, an individual must enter the EEO process within 45 days from when they know (or should have known) of the alleged discrimination. Click here for additional information.<br /><br /><strong>TTY/ASCII</strong>: Video Relay Service users are welcome to contact the appropriate SEC office or employee via the contact information listed above. If you do not otherwise have access to a Video Phone or Video Relay service, you may send us an email or use the Federal Video Relay Service via the internet. For more information about using the Federal Relay Service and to create a new account, please see: http: fedvrs.us/ <br /><br /><b>How You Will Be Evaluated</b><br /><br />You will be evaluated for this job based on how well you meet the qualifications above.<br /><br /><strong>Those candidates who are referred may also be asked to participate in an interview, as well as an "In-Box Exercise" that is designed to measure your analytical writing capabilities.</strong><br /><br />If you meet the minimum qualifications stated in the vacancy announcement, we will compare your resume and supporting documentation to your responses on the occupational questionnaire. Your resume must support your responses to the occupational questionnaire. After review of your application materials, if you are determined to be minimally qualified, you will be referred to the selecting official.<br /><br />Applicants will be evaluated on the following competencies:<br /> Compliance Examinations, Legal Guidance, and Technical Communication<br /><br />The Occupational Questionnaire will take you approximately 10 minutes to complete. To preview the Occupational Questionnaire, click the following link https: apply.usastaffing.gov/ViewQuestionnaire/10523241 <br /><br /><b>Background checks and security clearance</b><br /><br />Security clearance <br /> Other <br /><br />Drug test required <br /> No <br /><br /></li> <b>Required Documents</b><br /><br />You must provide a complete Application Package, which includes: <ul> <li><strong>Required</strong>: Your responses to the Occupational Questionnaire.</li> <li><strong>Required</strong>: Your complete and comprehensive resume that includes a complete history of your work experience and the applicable employment dates with months and years. To determine if you qualify for this position, OHR will review your work history that is relevant to the specific position for which you applied. If you are an external candidate selected for this position, OHR will review your complete work history to establish your starting salary. If you are a current SEC employee selected for this position, the standard percentage increases will be applied (i.e., 6% for non-supervisory and 8% for supervisory positions) if your selection results in a promotion. If your selection results in lateral movement (i.e. no change in grade) you will maintain your current salary. <strong>Note</strong>: Your resume must directly address the definition of specialized experience listed in the qualification section of this announcement and must <strong>NOT </strong>contain pictures.</li> <li><strong>Required, if applicable:</strong> Veteran's documentation (DD-214, member 4 copy or other documentation containing dates of service and character of discharge.)</li> <li><strong>Required, if applicable:</strong> CTAP documentation (a copy of a separation notice or other proof of eligibility for priority selection; a copy of an SF-50, Notification of Personnel Action, showing current position, grade, promotion potential, and duty location; AND a copy of your most recent performance appraisal.)</li> </ul> <br /><br /><b>If you are relying on your education to meet qualification requirements:</b><br /><br />Education must be accredited by an accrediting institution recognized by the U.S. Department of Education in order for it to be credited towards qualifications. Therefore, provide only the attendance and/or degrees from schools accredited by accrediting institutions recognized by the U.S. Department of Education . <br /><br />Failure to provide all of the required information as stated in this vacancy announcement may result in an ineligible rating or may affect the overall rating.


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