Securities Attorney

Securities and Exchange Commission•Washington, DC

About The Position

The Division of Enforcement, Office of Market Intelligence (OMI) is seeking a General Attorney (Securities Attorney). The attorney will assist OMI in identifying, analyzing, and evaluating allegations of possible securities-law violations based on Tips, Complaints and Referrals (TCRs), Suspicious Activity Reports (SARs), and other data and intelligence. The role includes preparing written analyses and findings and recommending potential further action or response. The attorney will serve in the TCR Review and Bank Secrecy Act Groups and may analyze leads, research subjects and events, compile and assess information from internal and external sources, prepare legal analyses and recommendations, and coordinate with SEC staff and other offices regarding the consideration, assignment, and disposition of leads.

Requirements

U.S. citizenship.
J.D. or LL.B. degree.
Active membership in good standing of the bar of a U.S. state or territory, the District of Columbia, or the Commonwealth of Puerto Rico.
At least three years of post-J.D. experience independently identifying legal issues, providing legal analyses and solutions or recommendations, and preparing legal documents.
At least two years of experience analyzing complex legal and factual issues; conducting investigations and developing recommendations relating to violations of federal securities law; and conducting civil cases in U.S. District Courts or proceedings before administrative law judges.
Males born after December 31, 1959 must be registered with or exempt from Selective Service.
Must complete a pre-employment security investigation; favorable background investigation results may be a condition of employment or selection to another position.
Must report to the listed duty station(s).
Must provide transcripts or other documentation supporting educational claims; foreign education used to meet qualifications must be evaluated by a qualified credential-evaluation organization.
Federal salary payments must be made by direct deposit.
Must serve a two-year trial period, or one year for preference-eligible veterans, when the position is not the same or similar to the applicant's current position of record.

Responsibilities

Analyze TCRs, SARs, and other case leads and information sources to identify credible allegations of potential securities-law violations and the potentially applicable laws or regulations.
Conduct in-depth research of subjects, claims, and events; collect, compile, organize, and analyze related information from internal and external sources and databases to develop and assess leads.
Prepare written analyses and findings, apply law to facts and evidence, and recommend further consideration, assignment, and disposition of TCRs, SARs, and other leads.
Coordinate with staff in the Division of Enforcement, the Division of Corporation Finance, and other SEC offices and divisions regarding leads.
Perform other duties as assigned.