The Office of Enforcement Liaison (OEL) within the Division of Corporation Finance (CF) analyzes and provides recommendations regarding potential violations of the federal securities laws and rules administered by CF. As the office responsible for coordinating interactions between CF and the Division of Enforcement (Enforcement), OEL provides expert analysis and guidance with respect to potential enforcement actions and assists CF staff in resolving enforcement-related issues.
Conditions of Employment:
This position is open to U.S. 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:
Overseeing the work of professionals tasked with serving as legal and accounting advisers on complex and emerging issues related to potential violations of the registration, antifraud, disclosure, and other provisions of the Securities Act of 1933 and the Securities Exchange Act of 1934 and the rules thereunder.
Briefing and responding to inquiries from the Commission, Commissioners, and members of the Commission staff across the agency on enforcement matters.
Identifying and analyzing federal securities law issues arising in the context of complex and emerging types of transactions, offerings, and products, such as crypto assets.
Formulating recommendations regarding "bad actor" disqualifications and "ineligible issuer" status under the federal securities laws.
Reviewing and analyzing materials related to potential enforcement actions, including complaints, proposed settled orders and action memoranda.
Refer to the announcement on www.USAJOBS.gov for additional duties.
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-17: Applicant must have at least three years post-JD experience independently identifying legal issues, providing legal analyses, providing legal solutions or recommendations, and preparing legal documents, including at least two years of one of the following:
Independently preparing or reviewing complex SEC filings made by public companies, conducting second level reviews of filings;
Providing legal advice or conducting legal analysis regarding the application of the Securities Act of 1933; and/or
Providing guidance in the evaluation of complex disclosure reporting issues.
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