The Surveillance Specialist will help develop a security-based swap (SBS) surveillance program (SP) that will ingest data from the SBS data repositories for use by the SBS SP, TM, and responsible staff throughout the Commission. This position will support the newly created SBS Joint Venture (JV), a collaborative venture among several SEC divisions and offices that are responsible for regulation of SBSs and oversight of certain entities that will be required to register with the SEC.


Typical duties include:

  • Assists the Assistant Director and SBS Joint Venture co-lead with overseeing the implementation plan of the working group for Title VII, providing legal and technical supervision necessary for accomplishing the work of the joint venture.
  • Assists the Assistant Director and SBS Joint Venture co-lead with designing, developing, and maintaining a best-in-class SBS surveillance program that has the capabilities to, among other things, surveil for compliance with SBS reporting obligations and ensure the accuracy and completeness of the transaction data.
  • Assists the Assistant Director and SBS Joint Venture co-lead with managing new technology efforts, project management of surveillance algorithms, and implementation of trade surveillance solutions that combine SBS transaction data and other market data to detect potential market abuse behavior.
  • Provides legal guidance on challenging and complex Title VII implementation issues.
  • Facilitates and maintains relationships with TM staff, Division of Examinations (EXAMS), Division of Enforcement (ENF), Office of International Affairs (OIA), and Office of the Chief Data Officer (CDO) and other securities regulators on matters involving Title VII implementation, generally.
  • Represents the agency on inter-agency councils, international committees and working groups and/or government-industry teams.
  • Contacts, advises, and collaborates with high-ranking officials, such as agency heads, top congressional staff officials, state executives, legislative leaders, representatives of foreign authorities on international committees and working groups, and/or executives of comparable private sector organizations.
  • Assesses the economic impact, feasibility, practicality, and effectiveness of existing and/or proposed legislation, standards, regulations, and/or policies in order to develop, review, and/or approve high-level policies that have a broad impact on significant agency programs and/or mission areas.
  • Assists with planning and facilitating program-related activities, including program strategic planning. Reviews and evaluates organizational activities and advises the Assistant Director and senior management regarding the accomplishments and evaluation of program goals.


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-16.
  • 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 a mandatory telework posture through June 25, 2021. If selected, you will be permitted to temporarily telework from a location outside the local commuting area.
  • Once employees are permitted to return to the office, you will be expected to report to the duty station listed on this announcement within 60 days. At that time, you will be eligible to request telework in accordance with the SEC ‘s telework policy.


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-16: Applicant must have four years of post J.D. as a identifying legal issues, providing legal analyses, providing legal solutions/recommendations, and preparing legal documents, such as contracts, dispositions, pleadings, and motions, which also includes at least three years of which

  • Administering, designing, developing, or maintaining surveillance programs and trade surveillance solutions.
  • Experience in managing new technology efforts and project management of surveillance algorithms and tools.
  • Comprehensive project management experience in detection of market misconduct.

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