Summary

The Division of Trading and Markets (TM), Office of Chief Counsel (OCC), is seeking a Attorney - Broker-Dealer Sales Practices Regulation (Attorney-Adviser) for its Office of Sales Practices (OSP). OSP is responsible for a range of sales practice and other regulatory issues affecting market intermediaries.

Learn more about this agency

This job is open to

The public

U.S. Citizens, Nationals or those who owe allegiance to the U.S.

Clarification from the agency

US Citizens

Duties

As an Attorney - Broker-Dealer Sales Practices Regulation, your work may involve assisting with SEC rulemakings, Self-Regulatory Organizations (SROs) rule filings, providing advice to senior management and other offices, and representing the agency in discussions with external parties. Your work will require excellent analytical skills and attention to detail. The successful applicant will display a high level of initiative and commitment towards completing assignments in a timely manner, a keen ability to apply existing law to novel fact patterns, and will be independently motivated to achieve results.

In this role as an Attorney - Broker-Dealer Sales Practices Regulation, you will be responsible for:

Assisting and providing support and advice regarding TM's oversight of broker-dealers and other market intermediaries.
Participating in the implementation of regulatory initiatives, including Commission rulemaking, such as Regulation Best Interest and Form CRS; exemptive and no-action requests; interpretive guidance; and other Commission or staff initiatives implicating sales practices obligations under the Exchange Act of 1934 ("Exchange Act"), and related regulatory obligations.
Analyzing questions relating to broker-dealer sales practices issues and applicable regulatory obligations that may arise across a range of business models and activities, as well as potential overlap with other regulated entities such as investment advisers and municipal securities dealers.
Reviewing and analyzing proposed rule changes by SROs, such as those related to broker-dealer sales practices, arbitration, supervision, and anti-money laundering programs.
Providing legal guidance to the Division of Enforcement in its investigations and enforcement matters relating to, among other things, Regulation Best Interest, Form CRS, anti-money laundering obligations, and more generally, broker-dealer sales practices.
Developing and preparing guidance and facilitating action on complex legal and policy issues arising from the interpretation and application of the federal securities laws and the rules and regulations promulgated thereunder.
Reviewing, analyzing, and interpreting new legislative initiatives, Congressional mandates, Commission or Court decisions, actions taken by other regulators, and other events that may affect the securities markets and that implicate broker-dealer sales practices under the Exchange Act and/or anti-money laundering obligations.
Consulting and coordinating with other regulators, SROs, broker-dealers, and other financial market participants, as well as other staff in the Commission and TM as necessary and appropriate to complete assignments.

Requirements

Conditions of employment

CITIZENSHIP: You must be a US citizen.
SELECTIVE SERVICE: Males born after 12/31/59 must be registered or exempt from Selective Service (see https://www.sss.gov/).
SECURITY CLEARANCE: Entrance on duty is contingent upon completion of a pre-employment security investigation. Favorable results on a Background Investigation may be a condition of employment or selection to another position.
DRUG TESTING: This position may be subjected to drug testing requirements.
PERMANENT CHANGE OF STATION (PCS): Moving/Relocation expenses are not authorized.
DIRECT DEPOSIT: All Federal employees are required to have Federal salary payments made by direct deposit to a financial institution of their choosing.
TRIAL PERIOD: Consistent with 5 U.S.C. § 7511, you will be required to serve a two-year trial period (one year for preference eligible veterans) if the position to which you have applied is not the same or similar to your current position of record.
You must possess a J.D. or LL.B Degree and you must be an active member of the bar in good standing.

Qualifications

Applicants are responsible for confirming all required materials are submitted by the closing date of the announcement. Please check the How You Will Be Evaluated and Required Documents sections carefully, as missing documents will render the application incomplete and ineligible for review.

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. All qualification requirements must be met by the closing date of this announcement.

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 three years of post J.D. experience identifying legal issues, providing legal analyses, providing legal solutions/recommendations, and preparing legal documents, such as filings, memoranda, contracts, pleadings, and motions, which also includes at least two years of either:

Interpreting, applying, and explaining the provisions of the laws, rules, and regulations that govern the securities industry, in particular, the Securities Exchange Act of 1934, and related self-regulatory organization rules; OR

Developing and justifying recommendations or conclusions related to federal, state, or local law regarding financial institutions, including experience gained through relevant litigation or enforcement activities, or similar experience in an area such as banking, commodities, or corporate.

ACCOMPLISHMENT RECORD COMPETENCIES: Your Accomplishment Record narratives should address the following competencies. See the How You Will Be Evaluated section below for more information:

Rule Development: Prepares recommendations for rules that meet desired policy objectives within the Commission's statutory authority or that implement legislation.
Legal and Regulatory Analysis: Conducts analysis and prepares documents and reports in compliance with Federal law that governs the rulemaking process.
Teamwork and Collaboration: Interacts with internal and external others in a manner that advances SEC goals and objectives.
Critical Thinking: Considers a variety of factors, general and subject matter-specific, when making decisions and determining next steps in a case.

Education

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.

Additional information

Supplementary vacancies may be filled in addition to the number stated in this announcement and may be filled from any division or office within the agency.

SEC COMPENSATION PROGRAM: Total salary (base pay + locality) is dependent upon duty location. The overall salary range listed above is provided for informational purposes; a selectee's initial pay will be established below the maximum rate of the range. The pay for current SEC employees will be determined according to the procedures specified in the agency's policy. Please click here for a compensation overview.

Disability Employment: For information on disability appointments, click here.

Reasonable Accommodation: If you are an applicant who needs a reasonable accommodation to participate in the SEC application process due to a medical disability, please contact reasonableaccommodation@sec.gov. For religious-based accommodations, please contact religiousaccommodation@sec.gov . 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: For more information, please click here.

The Fair Chance Act prohibits specific inquiries concerning an applicant's criminal or credit background unless the hiring agency has made a conditional offer of employment to the applicant. An applicant may submit a complaint, or any other information, to the agency within 30 calendar days of the date of alleged non-compliance by contacting the Legal and Policy Office in the Office of Human Resources at ElliottT@sec.gov.

Candidates should be committed to improving the efficiency of the Federal government, passionate about the ideals of our American republic, and committed to upholding the rule of law and the United States Constitution.

Benefits

A career with the U.S. government provides employees with a comprehensive benefits package. As a federal employee, you and your family will have access to a range of benefits that are designed to make your federal career very rewarding. Opens in a new windowLearn more about federal benefits.

Review our benefits

Eligibility for benefits depends on the type of position you hold and whether your position is full-time, part-time or intermittent. Contact the hiring agency for more information on the specific benefits offered.

How you will be evaluated

You will be evaluated for this job based on how well you meet the qualifications above.

Your resume and application package will be reviewed to determine whether you meet the qualification requirements outlined in this announcement.

Your qualifications will be assessed through a two-step screening process:

Minimum Qualifications Resume Review

Accomplishment Record Review

If you are found minimally qualified through the minimum qualifications review, a rating panel will review your resume and Accomplishment Record narratives. Accomplishment Record narrative should clearly demonstrate your proficiency in the competencies listed in the Qualifications section. Submitting a Performance Appraisal does not fulfill the requirement for an Accomplishment Record. Click here for help with writing your Accomplishment Record.

Your resume must provide evidence that supports the claims made in your Accomplishment Record narratives; both documents must effectively showcase your qualifications. Each competency narrative should detail one specific, relevant example from your training or experience. Please limit each response to a maximum of 300 words, as any text beyond this limit will not be considered during the evaluation. You will upload one document with your narrative responses addressing each of the four competencies. Your responses must be in the below format:

Competency Title

Position title and dates from your resume that this experience was obtained
Describe the situation (i.e., the challenged faced, the problem solved)
Describe the specific actions you took
State the outcome, results, or long-term impact of your accomplishment
Name and email address of someone who can verify this information

Basis for Rating: The rating panel will evaluate applicants' accomplishment records and resume, then place them into one of the following categories:

Highly Qualified - Meets the minimum qualification requirements and has extensive skills and experience in most of the job related competencies.
Well Qualified - Meets the minimum qualification requirements and has a moderate amount of skills and experience in most of the job related competencies.
Qualified - Meets the minimum qualification requirements, but may have a limited amount of experience in several of the job related competencies.

Top ranked applicants will be referred to the hiring office for further review and consideration. The hiring office may directly contact recommended candidates for interview(s).

To preview the Questionnaire, click https://apply.usastaffing.gov/ViewQuestionnaire/12931164

Required Documents

You must provide a complete Application Package, which includes:

Required: Your responses to the Questionnaire.
Required: Resume - Resumes should include relevant work experience, with specific employment dates, that demonstrates qualifications for the specialized experience and competencies as outlined above. If your resume does not reflect demonstrated evidence of these qualifications, you may not receive consideration for the position. Resumes that exceed two pages will be deemed ineligible and receive no further consideration. For resume writing tips, visit USAJOBS and the SEC careers page.
Required, if applicable: Veteran's documentation (DD-214, member 4 copy or other documentation containing dates of service and character of discharge.)
Required: Accomplishment Record - The Accomplishment Record is a set of narrative responses that demonstrate your proficiency in the competencies listed. These narratives support your resume by providing specific examples from your training or experience. For each competency, you must provide a 300 word or less written narrative (text only) describing one example of competency-related experience. Text beyond this limit will not be considered. This document must be uploaded to the application under Accomplishment Record. An accomplishment record submitted outside the USA Staffing system will not be accepted. Failure to provide the Accomplishment Record in the correct format will result in an ineligible rating.
Required: Unofficial Transcripts/Registration/License - If education is a qualification for this position, you must submit a copy of your unofficial transcripts with your application. If you are selected for the position, you will need to provide an official transcript along with your certificate of good standing.

If you are relying on your education to meet qualification requirements:

Education must be accredited by an accrediting institution recognized by the U.S. Department of Education in order for it to be credited towards qualifications. Therefore, provide only the attendance and/or degrees from schools accredited by accrediting institutions recognized by the U.S. Department of Education.

Failure to provide all of the required information as stated in this vacancy announcement may result in an ineligible rating or may affect the overall rating.

How to Apply

To apply for this position, you must complete the online application and submit the documentation specified in the Required Documents section below.

A complete application package must be submitted by 11:59 PM (EST) on the closing date of the announcement to receive consideration. No additional documentation will be accepted after the closing date of the announcement.

To begin, click Apply to access the online application. You will need to be logged into your USAJOBS account to apply. If you do not have a USAJOBS account, you will need to create one before beginning the application.
Follow the prompts to select your resume and/or other supporting documents to be included with your application package. You will have the opportunity to upload additional documents to include in your application before it is submitted. Your uploaded documents may take several hours to clear the virus scan process.
After acknowledging you have reviewed your application package, complete the Include Personal Information section as you deem appropriate and click to continue with the application process.
You will be taken to the online application which you must complete in order to apply for the position. Complete the online application, verify the required documentation is included with your application package, and submit the application.

To verify the status of your application, log into your USAJOBS account (https://my.usajobs.gov/Account/Login), all of your applications will appear on the Welcome screen. The Application Status will appear along with the date your application was last updated. For information on what each Application Status means, visit: https://www.usajobs.gov/Help/how-to/application/status/.

Agency contact information

ask HR

Email

askHR@sec.gov

Address

Division of Trading and Markets
100 F Street NE
Washington, DC 20549
US

Next steps

You will be notified of your application status through USAJOBS at four points during the hiring process, as applicable. You can check the status of your application by accessing the USAJOBS website at http://usajobs.gov/ and clicking on "Track Your Online Application."

By submitting your application, you are certifying the accuracy of the information contained in your application. If you make a false statement in any part of your application, you may not be hired, you may be terminated after you begin work, or you may be fined or jailed. After making a tentative job offer, we will conduct a suitability/security background investigation. You will be required to submit official documentation before appointment. The agency will then verify the information provided on your application (i.e., degree, Veterans' Preference, certification of disability, etc.).

Candidates external to the SEC will be allowed to submit a comprehensive resume for pay setting purposes after a tentative offer is made. If the applicant fails to provide the comprehensive resume by the specified deadline, the resume submitted at the time of application will be used to determine pay. No additional documentation will be accepted after the deadline.

Overview

Accepting applications

Open & closing dates

04/13/2026 to 04/24/2026

This job will close when we have received 100 applications which may be sooner than the closing date. Learn more

Salary

$153,114 - $259,402 per year

Starting salary is based on experience. The range is listed for informational purposes. Initial pay will be set below the maximum. See more below.

Pay scale & grade

SK 14

Location

1 vacancy in the following location:

Washington, DC

Remote job

No

Telework eligible

No

Travel Required

Occasional travel - You may be expected to travel for this position.

Relocation expenses reimbursed

No

Appointment type

Permanent

Work schedule

Full-time

Service

Excepted

Promotion potential

14

Job family (Series)

0905 Attorney

Supervisory status

No

Security clearance

Other

Drug test

No

Position sensitivity and risk

High Risk (HR)

Trust determination process

Suitability/Fitness

Financial disclosure

Yes

Bargaining unit status

Yes

Announcement number

26-EX-12931164-SMP

Control number

864880200

U.S. Securities and Exchange Commission

About Company

Counsel

ATTORNEY - BROKER-DEALER SALES PRACTICES REGULATION