Summary

The Office of Enforcement Liaison (OEL) within the Division of Corporation Finance (CF) analyzes and provides recommendations regarding potential violations of the federal securities laws and rules administered by CF. As the office responsible for coordinating interactions between CF and the Division of Enforcement (Enforcement), OEL provides expert analysis and guidance with respect to potential enforcement actions and assists CF staff in resolving enforcement-related issues.

Duties

At the Securities and Exchange Commission (SEC), we are committed to diversity, equity, inclusion and accessibility (DEIA) and value a workforce that reflects the diverse experiences and perspectives of the communities we serve. As such, we welcome applications from qualified individuals of all backgrounds who share our commitment to public service.

This position may be located in any SEC Regional Office or Headquarters located in Washington, DC based upon mission needs.

Typical Duties Include:

  • Overseeing the work of professionals tasked with serving as legal and accounting advisers on complex and emerging issues related to potential violations of the registration, antifraud, disclosure, and other provisions of the Securities Act of 1933 and the Securities Exchange Act of 1934 and the rules thereunder.
  • Briefing and responding to inquiries from the Commission, Commissioners, and members of the Commission staff across the agency on enforcement matters.
  • Identifying and analyzing federal securities law issues arising in the context of complex and emerging types of transactions, offerings, and products, such as crypto assets.
  • Formulating recommendations regarding “bad actor” disqualifications and “ineligible issuer” status under the federal securities laws.
  • Reviewing and analyzing materials related to potential enforcement actions, including complaints, proposed settled orders and action memoranda.
  • Participating in the formulation of new or revised policies and programs and recommending the adoption of new and revised rules under the federal securities laws administered by Corp Fin.
  • Managing and coordinating the work of attorneys, accountants, and support staff in a collaborative and positive environment, and performing a full range of supervisory duties, including setting priorities and preparing schedules for completion of work; motivating performance; conducting performance evaluations; resolving issues; mentoring and training staff; and identifying development and training opportunities for employees.

Requirements

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-17.
  • SUPERVISORY 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 not in the collective bargaining unit.
  • This position is eligible to request telework in accordance with the SEC ‘s telework policy.
  • This position may be located in any SEC Regional Office or Headquarters located in Washington, DC based upon mission needs.
  • This announcement will close after the receipt of 150 applications or the closing date, whichever comes first.

Qualifications

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-17: Applicant must haveat least three years post-JD experience independently identifying legal issues, providing legal analyses, providing legal solutions or recommendations, and preparing legal documents, including at least two years of one of the following:

  1. Independently preparing or reviewing complex SEC filings made by public companies, conducting second level reviews of filings;
  2. Providing legal advice or conducting legal analysis regarding the application of the Securities Act of 1933; and/or
  3. Providing guidance in the evaluation of complex disclosure reporting issues.

Education

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

To apply for this job please visit www.usajobs.gov.

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2024 International Law Symposium: Call for Papers

The humanitarian crisis for the ethnic Armenian community of Nagorno-Karabakh (Artsakh) [as a result of Azerbaijan’s complete military encirclement, months-long blockade, and, ultimately, the entire Armenian population’s forced migration out of Nagorno-Karabakh] raise oft-ignored questions about the universality and effectiveness of non-derogable international human rights norms. This Call for Papers seeks submissions of abstracts for papers exploring the relationship between human rights and unrecognized or partially recognized States (viz, countries), particularly in connection with the live issues in Nagorno-Karabakh.

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