The OGC Adjudication Group advises and assists the Commission in issuing published opinions in contested administrative proceedings. The Commission's opinions guide the securities industry on questions of law. Adjudication attorneys advise the Commission on complex factual and legal issues, review the evidentiary records in the proceedings, and research the relevant substantive and procedural requirements.
Typical duties include:
Provides counsel with respect to contested appeals from the decisions of administrative law judges, self-regulatory organizations and the Public Company Accounting Oversight Board, as well as contested administrative proceedings set for a hearing before the Commission.
Communicates with the Commission on matters involving precedent-setting legal issues that have a significant impact on the administration of the securities laws.
Advises the Associate General Counsel with respect to the proper resolution of these matters.
Reviews the record, the parties' briefs, and the relevant precedent.
Prepares draft opinions in adjudications before the Commission.
Drafts, reviews, and edits pre-hearing orders in cases set for a hearing before the Commission.
Assists the Appellate group with appeals from Commission opinions.
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-14: Applicant must have at least three (3) years of post J.D. work experience identifying legal issues, providing legal analyses, providing legal solutions/recommendations, and preparing legal documents, such as opinions, briefs, pleadings, and motions, which also includes at least two (2) years: 1) experience working in areas such as appellate litigation performing research and providing advice regarding legal issues/matters or experience as a federal judicial clerk; 2) advising on legal analysis orally through briefings, consultations and presentations; and; 3) preparing a variety of written documents including legal memoranda, pleadings, motions, briefs and opinions.
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 and such education has been deemed equivalent to that gained in an accredited U.S. education program; or full credit has been given for the courses at a U.S. accredited college or university. For further information, visit: http://www.ed.gov/about/offices/list/ous/international/usnei/us/edlite-visitus-forrecog.html
SEC COMPENSATION PROGRAM: The overall salary range listed above is provided for informational purposes as it represents the full range that is applicable to current employees in this occupation/grade; however, a selectee's initial pay is always set below the maximum rate of the range. Please click here for additional information.
Disability Employment: For information on disability appointments, please visit http://www.opm.gov/policy-data-oversight/disability-employment/
IMPORTANT INFORMATION FOR SURPLUS OR DISPLACED FEDERAL EMPLOYEES: Career Transition Assistance Plan (CTAP) is available to individuals who have special priority selection rights under this plan. Individuals must be minimally qualified for this position to receive consideration for special priority selection. CTAP eligibles will be considered minimally qualified if they meet the minimum requirements for this position.
Reasonable Accommodation: If you are an applicant who needs a reasonable accommodation for disability to participate in the application process at the SEC, submit the form for Reasonable Accommodation for Participation in Job Application Process here. Please be sure to submit your request at least 5 business days in advance of the date you need the requested accommodation.
Equal Employment Opportunity (EEO) Information for SEC Job Applicants: Federal EEO laws protect all applicants from discrimination on the following bases: race, color, sex (not limited to conduct which is sexual in nature, includes pregnancy, gender identity, sexual orientation, transgender status), age (40 and over), religion, national origin, disability, genetic information, retaliation for participating in the EEO process or opposing discrimination. Applicants who believe they have been discriminated against on any EEO basis can seek recourse through the SEC's administrative complaints process. To be timely, an individual must enter the EEO process within 45 days from when they know (or should have known) of the alleged discrimination. Click here for additional information.
TTY/ASCII: Video Relay Service users are welcome to contact the appropriate SEC office or employee via the contact information listed above. If you do not otherwise have access to a Video Phone or Video Relay service, you may send us an email or use the Federal Video Relay Service via the internet. For more information about using the Federal Relay Service and to create a new account, please see: https://www.federalrelay.us/
Additional guidance and application instructions can be found here:
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