Summary The Legal Policy 3 (LP3) Group in the Office of the General Counsel provides legal advice to the Commission, individual
Commissioners, and the divisions and offices concerning securities laws, administrative law, and other applicable legal authorities. The LP3 Group analyzes regulatory recommendations to the Commission, primarily from the Division of Corporation Finance and the Office of the Chief Accountant, and advises on matters involving disclosures and accounting standards.
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
Typical duties include:
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.
This position serves as a Senior Special Counsel for Corporation Finance within Legal Policy 3, responsible for providing high-level assistance, particularly in the areas of public company disclosure and administrative law matters.
Provides expert legal advice and assistance orally and in writing to Office of the General Counsel management and staff, the Chair's office, individual commissioners, and other attorneys and specialists in Commission divisions and offices whose work has broad legal implications pertaining to the federal securities laws and other areas of law, such as administrative law.
Reviews and provides feedback on rule releases drafted by other offices or divisions of the Commission, particularly from the Division of Corporation Finance, and provides general legal support to other offices as needed.
Addresses novel or complex matters involving the registration and reporting obligations applicable to issuers of securities, including matters involved in drafting, interpreting or applying legislation, regulations, orders, or other legal instruments.
Works independently and coordinates with other attorneys to provide oral and written advice under tight rulemaking deadlines and to resolve effectively and efficiently numerous complex issues.
Assists the General Counsel with special projects, while keeping supervisors informed.
Demonstrates the ability to independently organize work, set priorities, accomplish work objectives, including in ambiguous or unclear situations, and determine short-term or long-term goals and strategies to achieve them.
All qualification requirements must be met by the closing date of this announcement.
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-16: Applicant must have at least four years post-J.D experience identifying legal issues, providing legal analyses, providing legal solutions/recommendations, and preparing legal documents, such as memoranda, correspondence, and orders, which also includes at least three years:
Interpreting the federal securities laws, with an emphasis on familiarity with the Securities Act of 1933, the Securities Exchange Act of 1934; and
Providing comprehensive and high quality legal research and analysis of complex issues often under tight deadlines; and
Conveying legal analysis and information orally through briefings, consultations and other presentations.
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.