Description du poste
The Division of Trading and Markets (TM), Office of Derivatives Policy and Trading Practices (ODPTP), is seeking an Attorney-Adviser (Senior Attorney-Adviser) for its Office of Trading Practices. OTP administers wide-ranging elements of TM's regulatory program for broker-dealers and other intermediaries.
PRINCIPALES MISSIONS :
ODPTP works closely with other federal regulators, self-regulatory organizations ("SROs"), state securities regulators, and investor advocacy and industry groups, and provides technical and policy assistance to both U.S. and foreign regulators on various legislative and regulatory initiatives. In addition to these matters and those listed below, OTP assists TM staff on various projects, including legal, policy, and administrative matters, as well as leading and/or facilitating special projects across TM, including matters involving multiple offices within and outside the Division. In this role as a Senior Attorney-Adviser, you will be responsible for: Carrying out a wide variety of duties relating to market intermediaries, including leading projects such as rulemaking initiatives and special projects. Leading projects may include significant drafting responsibilities. Reviewing, analyzing, and formulating recommendations to managers on statutory or rule interpretations pertaining to, among other things, quotations in the over-the-counter markets, Regulation M and other anti-manipulation provisions related to IPOs and secondary offerings and distributions, research analyst conflicts of interest, issues related to the operation of IDQSs and QIDQSs, and information barriers; and reviewing exemptive and no-action requests. Reviewing and responding as appropriate to Rule 19h-1 filings submitted by the various SROs. Coordinating the Division's response to questions seeking interpretation and guidance from the public. Interpreting and serving as a resource within TM on issues related to the over-the-counter markets, IPOs and secondary offerings, Regulation M, IDQSs and QIDQSs, Rules 15c2-4 and 10b-9, Rule 10b-18, fictitious quotations, and the Commission's anti-manipulation provisions such as Sections 10(b) and 9(a) of the Exchange Act. Reviewing and providing advice regarding enforcement recommendations, as well as providing advice and assistance to other Division and Commission staff whose work has broad legal and policy implications and may require formulating policy alternatives, and analyzing the legal aspects of such alternatives. Reviewing and providing advice regarding corporate filings that may raise potential Regulation M issues.
QUALIFICATIONS REQUISES :
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