Summary

If selected, you will serve as an Attorney-Adviser (Senior Counsel), SK-0905-14 in the Office of the Advocate for Small Business Capital Formation (OASB) in Washington, DC. As an Attorney-Adviser (Senior Counsel), you will join a well-respected team that advances the interests of small businesses, from startups to small public companies, and their investors at the SEC and in the capital markets.

Duties

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In this role as a Senior Counsel, you will be responsible for:

• Analyzing the potential impact of proposed SEC regulations and self-regulatory organization (SRO) rules on small businesses and their investors, including rules proposed by both the SEC and self-regulatory organizations that are likely to have a significant economic impact on small businesses and small business capital formation;
• Conducting outreach to small businesses, their investors, and advisors and organizations who work with small businesses to solicit views on capital formation issues;
• Interacting with a variety of organizations and individuals, both within the SEC and externally, on small business-related issues;
• Supporting preparation of an annual report to Congress providing analysis of the issues small businesses face and steps OASB has taken to address such issues over the past year;
• Assisting small businesses and their investors in resolving significant problems with the SEC or SROs. and
• Identifying areas in which small businesses and their investors would benefit from educational resources or other programming to explain SEC regulations and assist with compliance or from changes in SEC regulations or SRO rules.

Requirements

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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. a7 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.
• The selectee is required to report to the duty station(s) listed.

Qualifications

Applicants are responsible for confirming all required materials are submitted by the closing date of the announcement. Please check the HowYou 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 (3) years of post J.D. work experience independently identifying legal documents, such as securities filings and associated disclosure, stock purchase or similar acquisition agreements, private placement memoranda, contracts, dispositions, pleadings, and motions, which also includes at least two (2) years of experience:

1. Assisting small businesses, small business investors, or their intermediaries with compliance obligations under the federal securities laws; AND
2. Interpreting rules under the Securities Act of 1933, Securities Exchange Act of 1934, the Investment Company Act of 1940, or the Investment Advisers Act of 1940 as they apply to small businesses raising capital, their investors, or their intermediaries;
3. Developing resolutions to problems or obstacles that may arise in the course of capital raising or other market activity under the federal securities laws.

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

• Legal and Policy Analysis: Applies legal expertise and knowledge of industry issues and current topics to review and draft materials and recommendations.
• Outreach and Education: Engages with a broad range of audiences and stakeholders, educating them on complex legal concepts and market trends.
• Teamwork and Collaboration: Interacts with internal and external others in a manner that advances agency goals and objectives.
• Workload Management: Effectively prioritizes workload in a way that accommodates unforeseen developments and achieves successful outcomes.

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.

Benefits

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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.

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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.