Job Listing
Attorney - Enforcement Liaison
Securities and Exchange Commission · Posted 61 days ago
About the Role
The Division of Trading and Markets (TM) is seeking an Attorney - Adviser (Attorney - Enforcement Liaison) for its Office of Legal Counsel and Enforcement Liaison. This office is TM's primary liaison with the Division of Enforcement and is also responsible for issues affecting market intermediaries. Your work will require excellent analytical skills and attention to detail.
What You'll Do
- →The successful applicant will display a high level of initiative and commitment towards completing assignments in a timely manner, a keen ability to apply existing law to novel facts and will be independently motivated to achieve results.
- →In this role as a Attorney - Enforcement Liaison, you will be responsible for: Analyzing questions relating to Enforcement matters involving a range of TM-administered statutory provisions and rules that may arise across a range of business models and activities, as well as potential overlap with other regulated entities such as investment advisers and municipal securities dealers.
- →Providing legal guidance to the Division of Enforcement in its investigations and enforcement matters relating to, among other things, broker-dealer status issues, Regulation Best Interest, crypto asset as securities, anti-money laundering obligations, and more generally the statutes and rules administered by the Division of Trading and Markets.
- →Assisting and providing support and advice regarding TM's oversight of broker-dealers and other market intermediaries.
- →Developing and preparing guidance and facilitating action on complex legal and policy issues arising from the interpretation and application of the federal securities laws and the rules and regulations promulgated thereunder.
- →Reviewing, analyzing, and interpreting new legislative initiatives, Congressional mandates, Commission or Court decisions, actions taken by other regulators, and other events that may affect the securities markets.
- →Consulting and coordinating with other regulators, Self Regulated Organizations (SROs), broker-dealers, and other financial market participants, as well as other staff in the Commission and TM as necessary and appropriate to complete assignments.
Requirements
- ✓You MUST provide transcripts or other documentation to support your educational claims.
- ✓Unless otherwise stated: (1) official or unofficial transcripts are acceptable, or (2) you may submit a list with all your courses, grades, semester, year, and credit for the course.
- ✓If you are qualifying for this position by substituting education or training for experience, you must submit a copy of your unofficial transcripts or equivalent by the closing date of the announcement.
- ✓Qualifying education must have been obtained from an accredited college or university recognized by the U.S.
- ✓Department of Education.
- ✓Internal Applicants: OHR will verify education qualifications for internal applicants using documents in the Electronic Official Personnel Folder (eOPF).
- ✓If required transcripts or certificates are not present in your eOPF, you will be required to provide them to OHR.
- ✓If selected, a start date will not be established until official transcripts are received.
- ✓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.
- ✓For more information, click here.
- ✓Applicants may also find the following helpful: National Association of Credential Evaluation Services (NACES) is an association of 19 credential evaluation services with admission standards and an enforced code of good practice.
- ✓Association of International Credentials Evaluators (AICE) is an association of 10 credential evaluation services with a board of advisors and an enforced code of ethics.
Personality Fit
Job ID: ae3af4a8-f24f-4f43-a46c-22df21af2103
Posted via USAJobs