The Office of Enforcement Liaison (OEL) within the Division of Corporation Finance (CF) analyzes and provides recommendations regarding potential violations of the federal securities laws and rules administered by CF. As the office responsible for coordinating interactions between CF and the Division of Enforcement (Enforcement), OEL provides expert analysis and guidance with respect to potential enforcement actions and assists CF staff in resolving enforcement-related issues.
Conditions of Employment:
This position is open to U.S. Citizens.
You must possess a J.D. or LL.B Degree.
You must be an active member of the bar in good standing.
Typical duties include:
Overseeing the work of professionals tasked with serving as legal and accounting advisers on complex and emerging issues related to potential violations of the registration, antifraud, disclosure, and other provisions of the Securities Act of 1933 and the Securities Exchange Act of 1934 and the rules thereunder.
Briefing and responding to inquiries from the Commission, Commissioners, and members of the Commission staff across the agency on enforcement matters.
Identifying and analyzing federal securities law issues arising in the context of complex and emerging types of transactions, offerings, and products, such as crypto assets.
Formulating recommendations regarding "bad actor" disqualifications and "ineligible issuer" status under the federal securities laws.
Reviewing and analyzing materials related to potential enforcement actions, including complaints, proposed settled orders and action memoranda.
Refer to the announcement on www.USAJOBS.gov for additional duties.
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 have at least three years post-JD experience independently identifying legal issues, providing legal analyses, providing legal solutions or recommendations, and preparing legal documents, including at least two years of one of the following:
Independently preparing or reviewing complex SEC filings made by public companies, conducting second level reviews of filings;
Providing legal advice or conducting legal analysis regarding the application of the Securities Act of 1933; and/or
Providing guidance in the evaluation of complex disclosure reporting issues.
*** The SEC offers enhanced pay and benefits plus the standard Federal benefits. Apply today! ***
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.