Senior Attorney - Office of Legal Counsel
The Division of Trading and Markets (TM), Office of Chief Counsel (OCC) is seeking an Attorney Adviser (Senior Attorney - Office of Legal Counsel) (OLC). OLC administers wide-ranging elements of TM's regulatory program for broker-dealers and other intermediaries, works with federal and state regulators, self-regulatory organizations (SROs), investor advocates, and industry groups, and provides technical and policy assistance to U.S. and foreign regulators on legislative and regulatory matters.
In this role as a Senior Attorney - Office of Legal Counsel, 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, as well as reviewing draft rulemakings from other federal agencies. Leading projects may include significant drafting and editing responsibilities. Reviewing and analyzing notices for public comment and, as applicable, drafts orders related to SRO proposed rule change filings pertaining to, among other things, SRO rules governing continuing education, disciplinary procedures, statutory disqualification, and fingerprinting plans; and reviewing exemptive and no-action requests. Reviewing and responding, as appropriate, to Rule 19h-1 filings submitted by the various SROs and Commission Rule of Practice 194 filings (both applications and notices submitted in lieu of an application). Coordinating the Division's response to questions from the public that are received through TM's email address and telephone line seeking, among other things, interpretation, guidance and other general assistance from TM staff. Coordinating the efforts of others across TM in responding to, among other things, draft memoranda of understanding with other regulators, Freedom of Information Act requests, Paperwork Reduction Act renewals, and initiatives involving international securities regulators and related organizations. Interpreting and serving as a resource within TM on the definition of "securities" under the Exchange Act, various cyber-related initiatives, and for Regulations S-ID, S-AM, and S-P. Reviewing and providing advice regarding enforcement recommendations, as well as provide advice and assistance to other Division and Commission staff whose work has broad legal and policy implications and may require formulating policy alternatives, and analyze the legal aspects of such alternatives.