Assistant Director

The Division of Trading and Markets (TM), Office of Market Supervision (OMS) is seeking a Supervisory Attorney Adviser (Assistant Director). OMS broadly focuses on market structure for equities, derivatives, and fixed income and securities-based trading platforms such as national securities exchanges, security-based swap execution facilities, security futures exchanges, and alternative trading systems. The office oversees rules and policy related to the national market system.

In this role as an Assistant Director, you will be responsible for: Planning, directing, and supervising a program of regulation of the securities industry, both directly and through supervision of industry self-regulation; managing projects that may involve review and analysis of significant rule change proposals submitted by self-regulatory organizations (SROs), the development and implementation of Commission rulemaking to address issues in the national market system issues, or requests for interpretation of or relief from the Federal securities laws. Performing the administrative and human resource management functions relative to the staff supervised; planning, scheduling, and assigning work to subordinates. Establishing guidelines and performance expectations for staff members; providing feedback and periodically evaluating employee performance. Providing advice, counsel, and instruction to staff members and organizing task forces consisting of attorneys and other professionals within the office and across the Commission. Assisting the senior staff in the Division, and other offices and divisions in the Commission, on a wide array of matters relating to securities and financial markets. Participating in advising on policy matters relating to the securities and financial markets and provide technical assistance in the development and implementation of major SEC initiatives in the securities area. Leading staff teams in the preparation of legal and regulatory materials; summarizes factual and legal issues involved; briefing Commission and TM leadership; and presenting recommendations as to proper course of action. Assisting the Director, the Deputy Director, and the Associate Directors in developing additional rules, regulations, and policies designed to ensure appropriate and effective oversight of national securities exchanges, national securities associations, security-based swap execution facilities, broker-dealers, alternative trading systems, securities information processors, and other regulated entities. Providing professional legal advice and guidance to a range of individuals in SEC and other agencies as appropriate. Advising on questions of structure and operations of the national securities exchanges, the Financial Industry Regulatory Authority (FINRA) and the Municipal Securities Rulemaking Board (MSRB) or the implementation of new regulatory initiatives and policy that affect their operations; serves as SEC's representative for discussions regarding assigned program areas.

You MUST provide transcripts or other documentation to support your educational claims. Unless otherwise stated: (1) official or unofficial transcripts are acceptable, or (2) you may submit a list with all your courses, grades, semester, year, and credit for the course. If you are qualifying for this position by substituting education or training for experience, you must submit a copy of your unofficial transcripts or equivalent by the closing date of the announcement. Qualifying education must have been obtained from an accredited college or university recognized by the U.S. Department of Education. Internal Applicants: OHR will verify education qualifications for internal applicants using documents in the Electronic Official Personnel Folder (eOPF). If required transcripts or certificates are not present in your eOPF, you will be required to provide them to OHR. If selected, a start date will not be established until official transcripts are received. 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. For more information, click here. Applicants may also find the following helpful: National Association of Credential Evaluation Services (NACES) is an association of 19 credential evaluation services with admission standards and an enforced code of good practice. Association of International Credentials Evaluators (AICE) is an association of 10 credential evaluation services with a board of advisors and an enforced code of ethics.