Summary The Division of Corporation Finance is seeking to fill the position of the Senior Officer-Associate Director (Disclosure Operations). This position is located in Washington, DC and is open to current SEC employees in the Division of Corporation Finance. Responsibilities The Disclosure Operations (DO) Associate Director position is in the Division of Corporation Finance located in Washington, DC. In addition to serving as a member of the Division's Senior Staff and leading the Division to meet its strategic priorities, you would be a member of Division leadership responsible for oversight of the Disclosure Review Program, including the Division's selective review of offering documents and periodic filings submitted pursuant to the Securities Act of 1933 and the Securities Exchange Act of 1934. You would supervise multidisciplinary offices that conduct reviews to ensure compliance with the applicable disclosure and accounting requirements and collaborate with the Division's senior leadership to set guidelines for interpretive positions taken by staff, consistent with the Commission's statutory mission. Typical duties include: Advising on transactions and interpretive questions arising under the Securities Act of 1933; the registration, reporting, proxy and other disclosure and fraud provisions of the Securities Exchange Act of 1934; the Sarbanes-Oxley Act of 2002; the Dodd-Frank Wall Street Reform and Consumer Protection Act; and the rules and regulations promulgated under the foregoing statutes; assuring compliance with the requirements of the forms and procedures administered by the Division. Developing new policies and procedures in response to emerging trends, changing priorities and new rules and regulations. Supervising the maintenance of an informational and legal interpretative program in assigned offices to assist and advise registrants, prospective registrants, accounting firms, legal firms, financial firms, investment firms, and the general public with respect to the registration, reporting, and other disclosure requirements of the statutes and rules administered by the Division. Establishing review goals and assisting the Deputy Director, Disclosure Operations with administration of the Disclosure Review Program to efficiently achieve specified goals and objectives. Maintaining policies, procedures and resources to reflect current priorities. Providing guidance and leadership to direct reports, including assigned Industry Office Chiefs, and collaborating with other Division offices to enhance the effectiveness of filing review policies and procedures and individual filing review outcomes. Serving as an advisor on a broad set of functions that support innovation in Disclosure Operations. Maintaining the Division's outreach and consultation efforts to inform our work to facilitate capital formation and enhance investor protection. Perform the administrative and human resource management functions relative to supervised staff including: plans, schedules, and assigns work; establishes guidelines and performance expectations for staff; provides feedback; periodically evaluates employee performance; oversees training and development of staff; manages time and attendance; promotes a diverse and inclusive work environment that drives a positive "tone at the top"; and carries out Equal Employment Opportunity (EEO) policies through active participation in program activities that foster positive working relationships and collaborative behavior. Requirements Conditions of Employment Qualifications All qualification requirements must be met by the closing date of this announcement. Qualifying experience may be obtained in the private or public sector. Experience refers to paid and unpaid experience, including volunteer work done through National Service programs (e.g., Peace Corps, AmeriCorps) and other organizations (e.g., professional; philanthropic; religious; spiritual; community, student, social). Volunteer work helps build critical competencies, knowledge, and skills and can provide valuable training and experience that translates directly to paid employment. You will receive credit for all qualifying experience, including volunteer experience. Qualifying education must have been obtained from an accredited college or university recognized by the U.S. Department of Education. BASIC REQUIREMENT: All applicants must possess the following J.D. or LL.B. degree --AND-- Active membership of the bar in good standing in any state, territory of the United States, the District of Columbia, or the commonwealth of Puerto Rico. (Note: proof of bar membership will be required before entry on duty. MINIMUM QUALIFICATION REQUIREMENT: In addition to meeting the basic requirement, applicants must also meet the minimum qualification requirement. SO-01: Applicant must have four year(s) of post J.D. work experience as a practicing attorney, three years of which includes the following: Interpreting and providing guidance on securities regulatory matters rulemaking; Providing legal advice regarding the general application of the Securities Act of 1933, Exchange Act of 1934, and other federal securities laws and recommending the resolution of disclosure reporting issues; and Providing guidance and evaluation of rulemaking initiatives and overarching policy issues related to the federal securities laws. Education FOREIGN EDUCATION: If you are using education completed in foreign colleges or universities to meet the qualification requirements, you must show the education credentials have been evaluated by a private organization that specializes in interpretation of foreign education programs and such education has been deemed equivalent to that gained in an accredited U.S. education program; or full credit has been given for the courses at a U.S. accredited college or university. For further information, visit: http://www.ed.gov/about/offices/list/ous/international/usnei/us/edlite-visitus-forrecog.html Official Transcripts will be required at the time of appointment to verify educational eligibility. Additional Information SEC COMPENSATION PROGRAM: The overall salary range listed above is provided for informational purposes as it represents the full range that is applicable to current employees in this occupation/grade; however, a selectee's initial pay is always set below the maximum rate of the range. Please click here for additional information. Disability Employment: For information on disability appointments, please visit http://www.opm.gov/policy-data-oversight/disability-employment/ Reasonable Accommodation: If you are an applicant who needs a reasonable accommodation for disability to participate in the application process at the SEC, submit the form for Reasonable Accommodation for Participation in Job Application Process here. Please be sure to submit your request at least 5 business days in advance of the date you need the requested accommodation. Equal Employment Opportunity (EEO) Information for SEC Job Applicants: Federal EEO laws protect all applicants from discrimination on the following bases: race, color, religion, sex, pregnancy, national origin, political affiliation, sexual orientation, marital status, disability, genetic information, age, membership in an employee organization, retaliation, parental status, military service or other non-merit factor. Applicants who believe they have been discriminated against on any EEO basis can seek recourse through the SEC's administrative complaints process. To be timely, an individual must enter the EEO process within 45 days from when they know (or should have known) of the alleged discrimination. Click here for additional information. The Fair Chance Act prohibits specific inquiries concerning an applicant's criminal or credit background unless the hiring agency has made a conditional offer of employment to the applicant. An applicant may submit a complaint, or any other information, to the agency within 30 calendar days of the date of alleged non-compliance by contacting the Legal and Policy Office in the Office of Human Resources at ElliottT@sec.gov.
