The Division of Enforcement investigates possible violations of securities laws, recommends Commission action when appropriate, either in a federal court or before an administrative law judge, and negotiates settlements.
Serves as an attorney conducting high profile and complex investigations undertaken by the SEC. Investigations conducted by the Enforcement program involve many diverse aspects of the securities markets which require that the employee apply specialized legal knowledge in areas such as insider trading, market manipulations, financial fraud, broker-dealer and investment adviser practices, issuer disclosure, and trading practices.
Conducts fact-finding investigations through a variety of means including taking testimony from and interviewing witnesses, and obtaining and analyzing document productions.
Provides legal expertise in cases involving possible civil or criminal violations of the federal securities laws and coordinates with other federal or state agencies on possible civil or criminal violations of securities laws.
Provides litigation support by working closely with trial attorneys and drafting pleadings, motions and briefs, conducting discovery, assisting with trial preparation, appearing in federal court and in administrative proceedings, and conducting legal research.
Assists with collection of disgorgement and penalties ordered in Commission enforcement actions and with distributions of disgorgement funds.
Provides legal advice and assistance to the management and staff of the SEC Enforcement program at Headquarters and/or field offices.
Prepares memoranda and other documents relative to procedural, policy, or legal issues related to investigations, court or legal counsel inquiries, and impacted parties' questions.
Drafts and analyzes legislative proposals and developments affecting SEC's enforcement program; provides advice on legal issues involved in hearings and responses to Congressional requests; and prepares or reviews testimony involving legal and policy questions. Drafts legal opinions, memoranda, regulations, and related documents, agreements, and correspondence.
Performs other duties as assigned.
Please see job announcement link for specific requirements.
About U.S. Securities and Exchange Commission
The Securities and Exchange Commission's mission is to protect investors, maintain fair, orderly, and efficient markets, and facilitate capital formation. The agency seeks high-caliber employees who share the same values of integrity, fairness, accountability, resourcefulness, teamwork, and commitment to excellence.