ATTORNEY - BROKER-DEALER SALES PRACTICES REGULATION

As an Attorney - Broker-Dealer Sales Practices Regulation, your work may involve assisting with SEC rulemakings, Self-Regulatory Organizations (SROs) rule filings, providing advice to senior management and other offices, and representing the agency in discussions with external parties. Your work will require excellent analytical skills and attention to detail. The successful applicant will display a high level of initiative and commitment towards completing assignments in a timely manner, a keen ability to apply existing law to novel fact patterns, and will be independently motivated to achieve results. In this role as an Attorney - Broker-Dealer Sales Practices Regulation, you will be responsible for: Assisting and providing support and advice regarding TM's oversight of broker-dealers and other market intermediaries. Participating in the implementation of regulatory initiatives, including Commission rulemaking, such as Regulation Best Interest and Form CRS; exemptive and no-action re