SEC enforcement Forum

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SEC enforcement

Post by Anonymous User » Tue Aug 24, 2021 8:00 pm

Can anyone talk about this? What would an attorney in the enforcement division do? How much substantive securities experience is needed for the interview? What do attorneys in the regional offices do? Any tips for getting the job?

(Anonymous because I'm pushing pretty hard for this right now, and my post history would probably match up with my resume enough to make the SEC folks I've spoken to realize who I am.)

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Re: SEC enforcement

Post by Anonymous User » Thu Aug 26, 2021 12:18 am

Figured I'd bump this once.

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Re: SEC enforcement

Post by Anonymous User » Thu Aug 26, 2021 1:29 am

Anonymous User wrote:
Tue Aug 24, 2021 8:00 pm
What would an attorney in the enforcement division do?
Enforce the various securities laws of these United States.

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Re: SEC enforcement

Post by Anonymous User » Thu Aug 26, 2021 7:11 am

Anonymous User wrote:
Tue Aug 24, 2021 8:00 pm
Can anyone talk about this? What would an attorney in the enforcement division do? How much substantive securities experience is needed for the interview? What do attorneys in the regional offices do? Any tips for getting the job?

(Anonymous because I'm pushing pretty hard for this right now, and my post history would probably match up with my resume enough to make the SEC folks I've spoken to realize who I am.)
Enforcement is split into trial attorneys and investigative attorneys. Investigative attorneys can come in more junior, whereas they expect minimum 5-7 years of litigation for trial attorneys. There can be overlap and they work closely together. HQ is more divided than ROs into specialities, but investigative attorneys at ROs are typically in specialized groups as well. Substantive experience is very good but not the only skill required to get there. They prefer at least a few years of experience for investigative attorneys but are more open to hiring closer to entry level with this new administration. Interview process is rigorous, so be prepared for tests and intense hypos.

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Re: SEC enforcement

Post by Anonymous User » Sat Aug 28, 2021 10:09 am

I do enforcement at another federal agency. Investigations will involve assessing allegations of violations that come in; coming up with investigative plans (what evidence do you need to collect? Who do you need to speak to?); conducting the actual investigation which will include making document requests and/or sending subpoenas, reviewing the documents collected, and speaking to witnesses informally or formally (in testimony). Once you have enough information you’ll consider what the resolution should be (close it? Sue someone, and if so, who? Can you settle without having to file a complaint?). There will be many many permutations of investigative work depending on the situation (are you investigating in parallel with other criminal or civil agencies? Do you need to collect evidence from or interview people who are outside the US? Are you working with an internal or external expert?). And there will be many points where you need approval from those higher up to make decisions, take certain steps, etc. There’s definitely a bureaucracy involved.

As a trial attorney you will be doing the litigations, and everything that involves (motion practice, discovery, trial if necessary). You may have been involved in the investigation to some extent, and the attorneys who did the investigation may continue to be involved in the litigation. Lots of levels of review here as well.

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Anonymous User
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Re: SEC enforcement

Post by Anonymous User » Thu Sep 09, 2021 10:20 am

Different anon. Does anyone have insight into what they look for in hiring? I saw the SK-11 position posted recently, and I wondered if I would be competitive as a junior lit associate without any real securities experience.

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Re: SEC enforcement

Post by Anonymous User » Fri Sep 10, 2021 10:24 am

diff anon than above or OP, does anyone know the timeline it takes from application to interviews to offer?

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Re: SEC enforcement

Post by Anonymous User » Mon Sep 13, 2021 11:42 am

Anonymous User wrote:
Thu Sep 09, 2021 10:20 am
Different anon. Does anyone have insight into what they look for in hiring? I saw the SK-11 position posted recently, and I wondered if I would be competitive as a junior lit associate without any real securities experience.
I was just hired as an ENF atty and my sense is that, at least for this most recent round of hiring, they really, REALLY wanted some securities experience and the applicants were either mid-level/senior. I don't say this to dissuade you from throwing your hat in the ring but just be prepared that your application without meaningful securities experience may not make it past the HR screener stage. Again, I say that with the caveat that the hiring requirements may shift every year. But if I were in your shoes, I'd try to get more experience under my belt before applying.

This thread is also helpful: viewtopic.php?f=23&t=308399

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Re: SEC enforcement

Post by Anonymous User » Mon Sep 13, 2021 11:48 am

Anonymous User wrote:
Fri Sep 10, 2021 10:24 am
diff anon than above or OP, does anyone know the timeline it takes from application to interviews to offer?
Applied late Dec
Reach-out to set up interview in late Feb
First round interview early March
Second round interview late March
Offer ~2 weeks later (contingent on background check)

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Anonymous User
Posts: 380730
Joined: Tue Aug 11, 2009 9:32 am

Re: SEC enforcement

Post by Anonymous User » Mon Sep 13, 2021 2:09 pm

Anonymous User wrote:
Mon Sep 13, 2021 11:48 am
Anonymous User wrote:
Fri Sep 10, 2021 10:24 am
diff anon than above or OP, does anyone know the timeline it takes from application to interviews to offer?
Applied late Dec
Reach-out to set up interview in late Feb
First round interview early March
Second round interview late March
Offer ~2 weeks later (contingent on background check)
thanks! do you mind me asking which city?

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bluecrab5448

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Re: SEC enforcement

Post by bluecrab5448 » Wed Sep 15, 2021 11:59 am

Anonymous User wrote:
Mon Sep 13, 2021 2:09 pm
Anonymous User wrote:
Mon Sep 13, 2021 11:48 am
Anonymous User wrote:
Fri Sep 10, 2021 10:24 am
diff anon than above or OP, does anyone know the timeline it takes from application to interviews to offer?
Applied late Dec
Reach-out to set up interview in late Feb
First round interview early March
Second round interview late March
Offer ~2 weeks later (contingent on background check)
thanks! do you mind me asking which city?
Send me a PM.

Anonymous User
Posts: 380730
Joined: Tue Aug 11, 2009 9:32 am

Re: SEC enforcement

Post by Anonymous User » Wed Sep 15, 2021 9:45 pm

Hey! Does anyone know how long the background check takes? Full security clearance or something else?

Anonymous User
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Re: SEC enforcement

Post by Anonymous User » Thu Sep 23, 2021 12:45 pm

bluecrab5448 wrote:
Wed Sep 15, 2021 11:59 am
Anonymous User wrote:
Mon Sep 13, 2021 2:09 pm
Anonymous User wrote:
Mon Sep 13, 2021 11:48 am
Anonymous User wrote:
Fri Sep 10, 2021 10:24 am
diff anon than above or OP, does anyone know the timeline it takes from application to interviews to offer?
Applied late Dec
Reach-out to set up interview in late Feb
First round interview early March
Second round interview late March
Offer ~2 weeks later (contingent on background check)
thanks! do you mind me asking which city?
Send me a PM.
can't send you a pm for some reason, added you as a friend though, maybe that enables you to pm me?

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