Senior Counsel

Senior Counsel

Multiple positions are posted in the Office of the General Counsel's Enforcement Litigation Group, which advises the General Counsel, the Commission, and the Division of Enforcement in connection with enforcement matters, the operation of the Commission's whistleblower program, and the application of Commission Rule of Practice 102(e), 17 C.F.R. § 201.102(e), with respect to potential attorney misconduct. For clarity, duties of attorneys within the group are informally grouped below by practice. During the application process, applicants may indicate interest in any combination of the following practices:

• Enforcement Review - Legal counsel for enforcement matters
• Whistleblower Review - Legal counsel for whistleblower matters
• Litigation and Professional Misconduct - Legal counsel for matters involving Commission Rule of Practice 102(e), 17 C.F.R. § 201.102(e), with respect to potential attorney misconduct

As members of the broader Enforcement Litigation Group, attorneys selected may be asked to perform work across the informal practice categories and on special projects. In this role as a Senior Counsel, you will perform the following duties: Overall:

• Provide advice on complex and difficult matters involving the application of federal securities laws.
• Conduct legal research and analysis of complex matters, particularly with respect to enforcement matters, often under tight deadlines.
• Work collaboratively with other divisions and offices in the Commission to assess developing legal issues and, as needed, provides briefings to supervisors in the Office of the General Counsel regarding such issues.
• Work collaboratively with members of the Office of the General Counsel and others to develop recommendations in response to developing legal issues.

Enforcement Review:

• Review recommendations from the Division of Enforcement concerning enforcement of federal securities laws.
• Work on other assignments or projects concerning the federal securities laws more broadly.

Whistleblower Review:

• Provide legal analysis and guidance concerning the Commission's whistleblower rules and claims processing procedures.
• Review recommendations from the Office of the Whistleblower and preliminary determinations by Claims Review Staff in connection with the processing of claims for whistleblower awards.

Litigation and Professional Misconduct:

• Conduct investigations into whether attorneys have engaged in misconduct that warrants the institution of administrative proceedings pursuant to Commission Rule of Practice 102(e) to suspend the attorneys from appearing and practicing before the Commission.
• Advise on matters involving remedies for possible securities law violations by attorneys, including whether to recommend Rule 102(e) suspensions of such attorneys, whether to recommend potential settlements of such suspensions, and whether to prepare and send a referral to the Office of the Inspector General or state bar officials.
• Additional duties may include work on special projects, including certain cross-office projects.