The Vacancy Identification Number is:817083
If you are not entitled to veteran's preference, mark "No preference claimed." Except for disabled veterans, (1) those who entered active duty on or after October 15, 1976, and before September 8, 1980, must have an authorized campaign badge; OR, (2) those who enlisted after September 7, 1980, or entered on active duty (through means other than enlistment) on or after October 14, 1982, must have (a) completed at least 24 months of continuous, active duty service AND have served in a campaign or expedition for which a campaign medal has been authorized; OR, (b) have served at least one day during the period for which a campaign medal has been authorized; OR (b) have served at least one day during the period of 08/02/90 through 01/02/92 AND have 24 months of continuous, active duty service, or been a reservist activated during that period. Persons who returned from military service at the rank of major, lieutenant commander, or higher are not entitled to veteran's preference except as disabled veterans.
In this section indicate if you are a surplus or displaced Federal employee requesting special priority consideration under the Career Transition Assistance Plan (CTAP) or the Interagency Career Transition Assistance Plan (ICTAP).
Note: To receive consideration for CTAP or ICTAP, you must submit the necessary supporting documentation. Refer to the "Benefits/Other" section for additional information and instructions.
The following are basic requirements for this position. Please select the letter that best describes your education and/or experience.
1. I have a J.D. or LL.B. degree.A. True
2. I am an active member of the bar in good standing in any state, territory of the United States, the District of Columbia, or the Commonwealth of Puerto Rico.A. True
3. Select the one response that best describes the level of experience you fully possess that demonstrates your ability as it directly relates to this position.A. I have at least three years post J.D. experience as a practicing attorney, two years of which includes substantial legal experience with clearing agencies, transfer agents, or security-based swap data repositories, the statutes and rules administered by the Commission, and Commission policy and interpretations.
To further assess your qualifications for this position, please select one response from the list below that best describes your experience and/or training as it relates to each factor/task. Darken the oval corresponding to that statement in Section 25 of the Qualifications and Availability Form C. Do not overstate or understate your level of experience and demonstrated capability. You should be aware that your ratings are subject to evaluation and verification based on the resume, narratives, and other supporting documentation. Later steps in the selection process are specifically designed to verify your stated level of experience and demonstrated capability. Deliberate attempts to falsify information may be grounds for non-selection.A- I have no education, training or experience in performing this task.
4. Independently write legal, technical, and policy documents, propose legislation, agency-wide or industry-wide guidelines relating clearing agencies, transfer agents, security-based swap data repositories or clearance and settlement matters generally.
5. Formulate and analyze options for agency/company decision memoranda and new guidelines that result from legislation, Commission action, or changes in other related programs.
6. Prepare statements or other written materials for implementation of policies or procedures based on the following: Federal law, government-wide regulation, agency-wide regulation, internal memos, etc.
In the text box below, please describe your experience which demonstrates your skill in producing written legal products relating to complex securities law issues. Please limit your response to 500 words or less.
7. Participate in discussions in which the purpose was to influence, motivate, question, or control persons or groups, or to resolve difficult operating problems.
8. Participate in discussions in which the purpose was to justify, defend, negotiate, or settle matters involving significant or controversial legal or policy issues.
9. Participate in conferences, meetings, or presentations in which the purpose is to plan, coordinate, or consult on work efforts or to resolve problems of significance or consequence involving legal questions relative to clearance and settlement matters.
In the text box below, please describe your experience which demonstrates your communication skills, including your ability to communicate effectively with co-workers and supervisors; consulting with colleagues, or formally presenting information at professional conferences, meetings with Commissioners or with senior staff, or meetings with industry, counsel or other regulators. Please limit your response to 500 words or less.
10. Carry out work plans, set/adjust short-term work priorities, provide feedback to employees on work performance, identify developmental/training needs, and find ways to improve production quality.
11. Supervise or lead other securities attorneys and staff in completing work assignments of legal nature that require analysis or resolution of complex legal and regulatory questions.
12. Determine approaches and plan execution of legal work, including schedules, milestones, and estimates of resources required.
13. Execute work assignments, independently developing long range plans for new programs requiring work with top management to develop plans for the effective operation of the organization.
14. Maximize use of resources, plan future needs, and work with others to create comprehensive plans.
In the text box below, please describe your experience which demonstrates your ability to plan and execute work assignments and lead projects. Please limit your response to 500 words or less.
15. Serve as legal advisor on difficult legal matters affecting clearing agencies, derivatives clearing organizations or other payment, clearance, and settlements systems.
16. Research relevant laws, legal opinions, policies, regulations, legal texts, and precedent cases that affect clearing agencies, derivatives clearing organizations or other payment, clearance, and settlements systems.
17. Provide analysis and advice on complex and sensitive issues of financial law, including as they relate to clearing agencies, derivatives clearing organizations or other payment, clearance, and settlements systems.
18. Make recommendations based on knowledge of clearing agencies, derivatives clearing organizations or other payment clearance and settlements systems, awareness of the legal implications of relevant judicial decisions, and knowledge of proposed legislation.
In the text box below, please describe your experience as it relates to your ability to understand and apply the laws, rules and regulation affecting the securities industry, particularly clearance and settlement. Please limit your response to 500 words or less.
19. Reminder: In addition to this questionnaire, you must also submit all applicable information/documents as described in the vacancy announcement under "Required Documents." Please read the vacancy announcement carefully, Follow the online instructions for submitting documents and check your account to confirm the documents are received in the online hiring system prior to the closing date. If all the required information is not received, you will be found ineligible for this position.
I understand that all required documents must be received by the closing date to receive consideration for this vacancy announcement and that my resume must reflect the experience as described in the vacancy announcement. (Please follow the instructions in the vacancy announcement).A. Yes.