Senior Law Clerk

Overview

C2 ALASKA, LLC

Washngton, DC

Hybrid

The Law Clerk III Senior OIAD shall provide legal research support to the United States Securities and Exchange Commission (SEC), Office of the Investor Advocate - Office of the Ombudsman. OIAD is responsible for, among other things, identifying areas in which investors would benefit from changes to federal laws, SEC regulations, or the rules of self-regulatory organizations (SRO), and for aiding investors in resolving significant problems they may have with the SEC or SROs. OIAD has four core functions: 1. Provide a voice for investors; 2. assist retail investor; 3. Study investor behavior; and 4. Support the SEC's Investor Advisory Committee.

Responsibilities

• Performs complex legal research and analysis on federal securities laws and self -regulatory organization rules impacting retail investors and conveys this information verbally and in writing for a range of internal and external uses.
• Assists in the research and preparation of senior-level briefings, presentations, and reports to Congress.
• Tracks, accesses, and updates data through systems such as Excel, Access, SharePoint, Westlaw, Lexis Nexis, and other legal resources.
• Works on high-visibility or mission critical aspects of a given project and performs all functional duties independently.
• May oversee the efforts of less senior staff and/or be responsible for the efforts of all staff assigned to a specific job.
• Synopsizes inquiries, research, and proposed approaches to resolve inquires, and presents this information at team meetings, senior staff briefings, and for other uses as required.
• Writes preliminary and final drafts of investor responses, legal memoranda, correspondence, and other materials, as required.
• Compiles documents for research requests and meeting preparation, including for Commissioner and Congressional inquiries, etc. Reviews materials and, for example, identifies potentially conflicting statements or areas requiring further consideration or policy analysis.
• Management of self-regulatory organization (SRO) rulemaking review process, including monitoring for updates, preliminary review, and flagging issues for supplemental review.
• Responds to investor inquiries.
• May have a role involving special knowledge and skills, such as public company disclosure documents, broker-dealer regulation, and FINRA and other relevant SRO rules and policy.
• Provides day-to-day project management of internal meetings, external outreach, and other programming, as required, including event scheduling and organizing, interacting with external participants and with key staff in other SEC offices, managing preparatory meetings and confirming participants and day-of resources
• Enters and tracks investor inquiries in Customer Relationship Management system.
• Other duties as assigned

Qualifications

• Law degree from an ABA-accredited law school
• Passed the bar exam in one of the U.S. States or the District of Columbia
• Minimum six (6) years of Law Clerk experience
• Minimum three (3) years' experience interpreting and applying the federal securities laws and the rules of self-regulatory organizations overseen by the SEC
• Ability to provide favorable credit history

Knowledge, Skills and Abilities

• Candidate Experience working in a regulatory, compliance, or transactional environment
• Experience with inputting and updating Tips, Complaints, and Referrals (TCR) system submissions.
• Ability to perform critical thinking, research, and analysis in performing legal work/matters
• Possess knowledge of laws and legal procedures
• Ability to work effectively in an extremely pressured environment.
• Possess and use excellent oral and written communications skills.
• Proficient with Microsoft 2010 or newer programs

Physical Demands: (The physical demands described here are representative of those that must be met by an employee to successfully perform the essential functions of this job. Reasonable accommodations may be made to enable individuals with disabilities to perform the essential functions.)

• While performing the duties of this Job, the employee is regularly required to sit and talk or hear. The employee may use repeated motions that include the arms, wrists, hands and/or fingers. The employee is occasionally required to walk, stand, climb, balance, stoop, kneel, crouch, or crawl. The employee must occasionally lift and/or move up to 25 pounds. Specific vision abilities required by this job include close vision.

Estimated Salary/Wage

Up to USD $56.00/Hr.