Summary The Division of Trading and Markets establishes and maintains standards for fair, orderly, and efficient markets. It regulates major market participants, including broker-dealers, self-regulatory organizations (such as stock exchanges, Financial Industry Regulatory Authority, and clearing agencies), and transfer agents.
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
At the Securities and Exchange Commission (SEC), we are committed to diversity, equity, inclusion and accessibility (DEIA) and value a workforce that reflects the diverse experiences and perspectives of the communities we serve. As such, we welcome applications from qualified individuals of all backgrounds who share our commitment to public service.
The Division also supervises use of approved models; develops market monitoring tools; provides analytical support, product expertise, rule reviews, policy insight; and reviews regulatory filings, risk positioning, internal audit, and liquidity.
Top 5 Typical Duties Include:
Carry out a wide variety of duties relating to the securities markets and certain market participants, including review and analysis of rule changes submitted by self-regulatory organizations (SROs) and work on rulemaking initiatives and special projects relating to the equity, debt, and derivatives securities markets, the national clearance and settlement system, clearing agencies, transfer agents, and other securities industry participants.
Assist the Assistant Director(s), other staff in the Division, and other offices and divisions in the Commission on a wide array of matters relating to the equity, debt, and derivative securities markets, clearing agencies, transfer agents, and other securities industry participants.
Advise on regulatory, policy, operational, enforcement, and other matters relating to the national clearance and settlement system, U.S. securities markets, and related international matters and provide technical and legal assistance in the development and implementation of major SEC initiatives in these same areas.
Independently analyze, summarize, and convey both verbally and in writing complex factual and legal issues; prepare summaries, memoranda, briefing documents, recommendations, and other materials related to same; prepare and present verbal and written briefings to Commissioners and their staff, as well as the Division Director, Deputy Director, Associate Director, and Assistant Director(s) with respect thereto.
Assist senior staff in developing, proposing, and implementing rules, regulations, and policies related to the appropriate and effective oversight and regulation of clearing agencies, transfer agents, and other national clearance and settlement system and securities industry participants; help develop, coordinate, and implement SRO and transfer agent compliance and surveillance programs in a manner consistent with the Commission's mandate under the Exchange Act.
Additional information and the link to the application can be found here:
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.