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Division of Trading and Markets – Career Opportunities

April 30, 2021

The Division of Trading and Markets (TM) supports the commission in its mission to protect the investors, maintain fair, orderly and efficient markets. The Division regulates the major securities market participants, including broker-dealers, self-regulatory organizations (such as stock exchanges, FINRA, and clearing agencies), and transfer agents.

The Division welcomes applications for attorney advisors. Candidates must possess:

  • J.D. from an accredited law school,
  • be an active member of the bar in good standing,
  • plus have at least 1 year post J.D. experience as a practicing attorney, providing advice on issues and policies related to the Federal securities laws and rules thereunder and interpretations of such laws and rules or similar experience in an area such as banking, commodities, corporate, antitrust, or tax laws and rules; this experience includes conducting legal research and analysis. 

The duties of an Attorney-Adviser in the Division of Trading and Markets include an opportunity to play a significant role in shaping important legal and policy decisions that pertain to establishing and maintaining standards for fair, orderly, and efficient securities markets.  e.g., the equity, fixed income and derivatives markets, including the security-based swaps markets. It may also include regulating the major securities market participants, including broker-dealers, stock exchanges, FINRA, clearing agencies, and transfer agents. 

How to Apply

Please submit the following documentation to

  • Attorney Appointment Application (link to form)
  • Cover letter outlining your relevant background and experience - (optional)
  • Resume
  • Veterans Preference documentation - (if applicable)
  • Transcripts (Unofficial is acceptable. If hired, you will be asked to provide an official transcript.)
  • Documentation showing that you are an active member of the bar in good standing

If you meet the experience requirements of the position, you will receive an email asking you to respond to a written assessment. You will have five business days to submit your response once notified. If you are selected for an interview, you will be contacted directly by the hiring office.

To find out more about Career Opportunities at the SEC visit

To review and apply to any of our current listings, please visit our USAJobs page.

The SEC is an Equal Opportunity employer and actively seeks a diverse workforce.

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