Attorney-Adviser - Senior Counsel

Securities and Exchange Commission•Washington, DC

16h•Onsite

About The Position

If selected, you will serve as an Attorney-Adviser (Attorney-Adviser - Senior Counsel), SK-0905-14, in the Office of the Advocate for Small Business Capital Formation (OASB) in Washington, DC. You will join a team that advances the interests of small businesses, from startups to small public companies, and their investors at the SEC and in the capital markets. The role focuses on analyzing the effects of proposed SEC and self-regulatory organization rules on small businesses and their investors; conducting outreach on capital formation issues; engaging with stakeholders inside and outside the SEC; contributing to an annual report to Congress; helping small businesses and investors resolve significant problems with the SEC or SROs; and identifying needs for educational resources, programming, or regulatory changes. The position requires a J.D. or LL.B. and active membership in good standing of a qualifying bar. Applicants must also meet the stated post-J.D. experience requirements. The selectee must report to the listed duty station. Employment is contingent on applicable pre-employment requirements, including a security investigation.

Requirements

U.S. citizenship.
J.D. or LL.B. degree.
Active membership in good standing of the bar in any U.S. state or territory, the District of Columbia, or the Commonwealth of Puerto Rico; proof is required before entry on duty.
At least three years of post-J.D. work experience independently identifying legal documents, such as securities filings and related disclosure, acquisition agreements, private placement memoranda, contracts, dispositions, pleadings, and motions.
At least two years of experience assisting small businesses, small business investors, or their intermediaries with compliance obligations under federal securities laws.
At least two years of experience interpreting rules under the Securities Act of 1933, Securities Exchange Act of 1934, Investment Company Act of 1940, or Investment Advisers Act of 1940 as they apply to small businesses raising capital, their investors, or their intermediaries.
At least two years of experience developing resolutions to problems or obstacles that may arise during capital raising or other market activity under federal securities laws.
Meet all qualification requirements by the announcement closing date.
Serve a two-year trial period, or one year for preference-eligible veterans, if the position is not the same or similar to the applicant's current position of record.
Submit required education documentation; foreign education used to meet qualifications must be evaluated by a qualified private organization.
Report to the listed duty station.

Responsibilities

Analyze the potential impact of proposed SEC regulations and self-regulatory organization (SRO) rules on small businesses and their investors, including rules likely to have a significant economic impact on small businesses and small business capital formation.
Conduct outreach to small businesses, their investors, and advisors and organizations that work with small businesses to solicit views on capital formation issues.
Interact with organizations and individuals within and outside the SEC on small business-related issues.
Support preparation of an annual report to Congress analyzing issues facing small businesses and steps OASB has taken to address them over the past year.
Assist small businesses and their investors in resolving significant problems with the SEC or SROs.
Identify areas where small businesses and their investors could benefit from educational resources or programming about SEC regulations and compliance, or from changes to SEC regulations or SRO rules.