The Division of Enforcement investigates possible violations of securities laws, recommends Commission action when appropriate, either in a federal court or before an administrative law judge, and negotiates settlements.
This position is located in Los Angeles, CA.
If selected, you will be responsible for investigating possible violations of securities laws, recommending and litigating Commission action when appropriate, either in a federal court or before an administrative law judge, and negotiating settlements.
Typical Duties Include:
Plans, organizes, and conducts or supervises trials of the most difficult and complex cases, which often require establishing efficient and innovative trial techniques while sometimes creating new legal precedent while understanding that cases are highly sensitive; generate exceptional interest on the part of the government, the defendant/respondent, and/or the public.
Provides effective leadership in the preparation, review, and revision of all case related legal papers, briefs, and memorandum in assigned litigation cases, including civil actions and administrative proceedings. Directs the preparation of and/or prepares and files required legal papers, such as briefs, motions, etc., in civil and administrative proceedings.
Argues or supervises the argument of motions in court and attends other court proceedings, conferences, and hearings in litigation as warranted.
Participates with investigative and Trial Unit staff to recommend enforcement actions and settlements thereof. Represents the SEC in dealings with state and federal regulatory and enforcement counterparts in connection with investigations, presentation of matters to a federal grand jury, criminal trials, and appeals.
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
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 at least four years post J.D experience identifying legal issues, providing legal analyses, providing legal solutions/recommendations, and preparing legal documents, such as contracts, dispositions, pleadings, and motions, which also includes at least three years: (1) Litigating complex civil or criminal cases in Federal Court or Administrative Proceedings; and (2) Applying the Federal Rules of Civil Procedure and the Federal Rules of Evidence.
The SEC is a bipartisan Commission consisting of up to five Commissioners appointed by the President and confirmed by the Senate. The President designates one Commissioner to serve as Chairman of the Commission. The SEC’s mission is to protect investors; maintain fair, orderly, and efficient markets; and facilitate capital formation. Accordingly, as outlined in the SEC’s Strategic Plan, the SEC’s goals are to focus on the long-term interests of our Main Street investors; recognize significant developments and trends in our evolving capital markets and adjust our efforts to ensure we are effectively allocating our resources; and elevate the agency’s performance by enhancing our analytical capabilities and human capital development. The SEC oversees the nation’s securities markets and certain market participants, including broker-dealers, investment companies, investment advisers, clearing agencies, transfer agents, credit rating agencies, and securities exchanges, as well as organizations such as the Financial Industry Regulatory Authority, Municipal Securities Rulemaking Board, and the Public Company Accounting Oversight Board. The agency’s functional responsibilities are carried o...ut through five divisions and 25 offices, each of which is headquartered in Washington, DC. The SEC also has 11 regional offices located throughout the country.
The SEC is considered a mid-sized federal agency, with 4,350 employees at the start of FY20. The SEC offers a competitive compensation and benefits package. In additional to standard federal benefits (i.e., escalating annual and sick leave, shared premiums for health, dental, vision, and life Insurance), we offer additional benefits related to child and elder care support, student loan repayment, generous retirement matching, transportation subsidy and many more benefits to support employee growth and development in our workforce.