The Division of Trading and Markets (TM), Office of Chief Counsel (OCC) is seeking an Attorney Adviser (Senior Attorney - Office of Legal Counsel) (OLC). OLC administers wide-ranging elements of TM's regulatory program for broker-dealers and other intermediaries, works with federal and state regulators, self-regulatory organizations (SROs), investor advocates, and industry groups, and provides technical and policy assistance to U.S.
and foreign regulators on legislative and regulatory matters.
In this role as a Senior Attorney - Office of Legal Counsel, you will be responsible for: Carrying out a wide variety of duties relating to market intermediaries, including leading projects such as rulemaking initiatives and special projects, as well as reviewing draft rulemakings from other federal agencies. Leading projects may include significant drafting and editing responsibilities.
Reviewing and analyzing notices for public comment and, as applicable, drafts orders related to SRO proposed rule change filings pertaining to, among other things, SRO rules governing continuing education, disciplinary procedures, statutory disqualification, and fingerprinting plans; and reviewing exemptive and no-action requests.
Reviewing and responding, as appropriate, to Rule 19h-1 filings submitted by the various SROs and Commission Rule of Practice 194 filings (both applications and notices submitted in lieu of an application). Coordinating the Division's response to questions from the public that are received through TM's email address and telephone line seeking, among other things, interpretation, guidance and other general assistance from TM staff.
Coordinating the efforts of others across TM in responding to, among other things, draft memoranda of understanding with other regulators, Freedom of Information Act requests, Paperwork Reduction Act renewals, and initiatives involving international securities regulators and related organizations.
Interpreting and serving as a resource within TM on the definition of "securities" under the Exchange Act, various cyber-related initiatives, and for Regulations S-ID, S-AM, and S-P.
Reviewing and providing advice regarding enforcement recommendations, as well as provide advice and assistance to other Division and Commission staff whose work has broad legal and policy implications and may require formulating policy alternatives, and analyze the legal aspects of such alternatives.
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.
This position is with Securities and Exchange Commission, Other Agencies and Independent Organizations.
The posted pay range is $174859 – $292300/yr.
This position requires a Other security clearance.
Applications close on 2026-09-09.
This position is open under the 'Public' hiring path.
Source: USAJOBS.gov — U.S. Federal Government
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