The Office of Investment Advisers and Investment Companies (IA/IC) within the Division of Examinations – Philadelphia Regional Office is filling a position for an Attorney-Adviser, SK-0905-11/12 in Philadelphia, PA.
The Division of Examinations conducts the SEC’s National Exam Program. The Division’s mission is to protect investors, ensure market integrity and support responsible capital formation through risk-focused strategies that: (1) improve compliance; (2) prevent fraud; (3) monitor risk; and (4) inform policy. The results of the Division’s examinations are used by the SEC to inform rule-making initiatives, identify and monitor risks, improve industry practices and pursue misconduct.
If selected, you will join a well-respected team that is responsible for supporting EXAMS’ mission to conduct and coordinate the nationwide examination program for entities over which the Commission has regulatory authority.
As an Attorney-Adviser, you will:
- Participate and provide technical assistance and support to examination or inspection activities for investment advisers and investment companies;
- Work as a member of a team with other staff members engaged in conducting examinations; responding to trends in the market; identifying areas of the market that merit special attention; and developing new inspection/examination procedures and processes;
- Conduct research, reviews and analysis of a variety of documents related to compliance; conducting reviews of customer trading and securities holdings; reviewing firm marketing; and developing recommendations to resolve problems in assigned areas of specialization;
- Prepare reports, correspondence, memoranda and other documents summarizing reviews, research and analysis related to registered entities’ compliance with the federal securities laws; and
- Initiate and conduct consultations with staff of the Division of Examinations and other SEC divisions and offices on issues which present difficult questions of fact and law or policy that require review and consultation before being presented for final action.
Conditions of Employment
- CITIZENSHIP: This position is open to US Citizens.
- You must possess a J.D. or LL.B Degree
- You must be an active member of the bar in good standing
- 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-14
- TRIAL PERIOD: This appointment may require completion of a two-year 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 in the collective bargaining unit.
- Due to COVID-19, the SEC is currently in an optional telework posture. This position is eligible to request telework in accordance with the SEC ‘s telework policy.
- All SEC employees (whether teleworking or working onsite) who are not approved for a reasonable accommodation must be fully vaccinated against COVID-19.
- For information about where to obtain a vaccine at no cost to you, please visit Vaccines.gov.
- Typical Examiner Travel: Examination staff routinely travel to the offices of registered entities to conduct on-site inspections of facilities, to meet with and interview entity personnel, and to examine certain business records.
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-11: a J.D. or LL.B. degree AND be an active member of the bar in good standing in any state, territory of the United States, the District of Columbia, or the commonwealth of Puerto Rico.
SK-12: Applicant must possess atleast one year of post-J.D. experience defining legal issues, conducting legal research, and drafting legal documents such as contracts, dispositions, pleadings, and motions. OR one of the following below:
- A second professional law degree (Master of Law/LL.M.);
- Membership on a law school’s journal or law review;
- Membership in the Order of the Coif;
- Graduation in the top 33 percent of law school class;
- One year of significant non-legal work experience in a field related to the position for which the applicant is being considered (e.g., work experience with FINRA or other financial regulatory authority, or other work experience directly applicable to the work of the position for which the attorney is being hired);
- A judicial clerkship following law school graduation; or
- Law Clerk and Legal Intern Appointments
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 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
You must provide a complete Application Package, which includes:
- Required: Your responses to the Occupational Questionnaire.
- Required: 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. Note: Your resume must directly address the definition of specialized experience listed in the qualification section of this announcement and must NOT contain pictures. For external candidates: Information on how your resume will be used for pay setting purposes can be found here.
- Required, if applicable: Veteran’s documentation (DD-214, member 4 copy or other documentation containing dates of service and character of discharge.)
- Required, if applicable: 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.)
How to Apply
To apply for this position, you must complete the online application and submit the documentation specified in the Required Documents section below.
A complete application package must be submitted by 11:59 PM (EST) on the closing date of the announcement to receive consideration.
- To begin, click Apply to access the online application. You will need to be logged into your USAJOBS account to apply. If you do not have a USAJOBS account, you will need to create one before beginning the application.
- Follow the prompts to select your résumé and/or other supporting documents to be included with your application package. You will have the opportunity to upload additional documents to include in your application before it is submitted. Your uploaded documents may take several hours to clear the virus scan process.
- After acknowledging you have reviewed your application package, complete the Include Personal Information section as you deem appropriate and click to continue with the application process.
- You will be taken to the online application which you must complete in order to apply for the position. Complete the online application, verify the required documentation is included with your application package, and submit the application.
To verify the status of your application, log into your USAJOBS account (https://my.usajobs.gov/Account/Login), all of your applications will appear on the Welcome screen. The Application Status will appear along with the date your application was last updated. For information on what each Application Status means, visit: https://www.usajobs.gov/Help/how-to/application/status/.
If you are unable to apply online or need to fax a document you do not have in electronic form, view the following link for information regarding an Alternate Application.
To apply for this job please visit www.usajobs.gov.