Summary The Division of Enforcement is seeking applicants for the Senior Officer-Associate Director position. This position is located in Chicago, IL and is open to US Citizens. Responsibilities The Associate Director, under the general direction of the Director of Enforcement and applicable Deputy Director, plans and establishes policy for the enforcement program, and directs, coordinates, controls, and evaluates the performance of Enforcement Division staff operations. Duties: Managing investigations and litigation of alleged violations of the federal securities laws. Identifying and evaluating the @types of practices engaged in, their significance under the laws and regulations administered by the Commission and determining appropriate procedures or remedies to be applied. Managing resources, overseeing investigative strategies, approving prospective recommendations to the Commission, reviewing Commission memoranda and court pleadings, and overseeing training of staff attorneys. Managing and participating in certain significant and complex investigations and litigation. Representing the Commission in dealings with the public and the news media. Performing the full range of supervisory duties, including evaluating employee performance; making recommendations for appointment and promotion; hearing and resolving complaints; identifying development and training needs of employees; and other related supervisory tasks. Supervising the activities of staff members in connection with administrative proceedings before agency Administrative Law Judges, before the Commission and in connection with actions filed in federal district court. Contacting and collaborating with high-ranking officials from other federal agencies and departments of government, congressional staff officials, state officials and/or executives of comparable private sector organizations Requirements Conditions of Employment Qualifications Applicants are responsible for confirming all required materials are submitted by the closing date of the announcement. Please check the How You Will Be Evaluated and Required Documents sections carefully, as missing documents will render the application incomplete and ineligible for review. 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. All qualification requirements must be met by the closing date of this announcement. 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 4 year(s) of post J.D. work experience identifying legal issues, providing legal analyses, recommendations, and preparing complex legal documents, which also includes at least 3 year(s) of specialized experience which includes: Interpreting Federal securities laws; and Conducting investigations and enforcement activities under the Federal securities Acts relating to the anti-fraud, anti-manipulative, and other provisions of the Acts. ACCOMPLISHMENT RECORD COMPETENCIES: Your Accomplishment Record narratives should address the following competencies. See the How You Will Be Evaluated section below for more information: Leading the Organization: Building and support the organization's vision, create strategies to achieve the vision, support and lead innovative and creative initiatives to meet organizational goals. Leading and Developing People: Ability to recruit, lead, develop and manage the workforce, constructively manages differences and potential conflicts between employees, building teams that meet and exceed SEC's mission, strategic plan, and goals. Results Orientation: Ability to meet organizational goals by effectively managing program area, identifying and solving important problems, making sound and timely decisions, and effectively managing and sharing information. Building Coalitions: Ability to build coalitions by partnering with others to build strategic relationships, influencing and negotiating with those in sphere of influence to achieve favorable outcomes for SEC. General Legal Guidance: Apply and explain the provisions of the laws, rules, and regulations that govern the securities industry. Investigation, Wells Process, Commission Authorization Process: Assists with investigations and steps leading to the filing of enforcement actions. Creativity and Innovation: Ability to imagine or conceive of something new and original, and balances the creative idea against the status quo, to recommend which creative ideas to fully develop into new or cutting-edge programs/ processes. Education You MUST provide transcripts or other documentation to support your educational claims. Unless otherwise stated: (1) official or unofficial transcripts are acceptable, or (2) you may submit a list with all your courses, grades, semester, year, and credit for the course. If you are qualifying for this position by substituting education or training for experience, you must submit a copy of your unofficial transcripts or equivalent by the closing date of the announcement. Qualifying education must have been obtained from an accredited college or university recognized by the U.S. Department of Education. Internal Applicants: OHR will verify education qualifications for internal applicants using documents in the Electronic Official Personnel Folder (eOPF). If required transcripts or certificates are not present in your eOPF, you will be required to provide them to OHR. If selected, a start date will not be established until official transcripts are received. 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. For more information, click here. Applicants may also find the following helpful: National Association of Credential Evaluation Services (NACES) is an association of 19 credential evaluation services with admission standards and an enforced code of good practice. Association of International Credentials Evaluators (AICE) is an association of 10 credential evaluation services with a board of advisors and an enforced code of ethics. Additional Information Supplementary vacancies may be filled in addition to the number stated in this announcement and may be filled from any division or office within the agency. SEC COMPENSATION PROGRAM: The overall salary range listed above is provided for informational purposes; a selectee's initial pay will be established below the maximum rate of the range. The pay for current SEC employees will be determined according to the procedures specified in the agency's policy. Please click here for a compensation overview. Disability Employment: For information on disability appointments, click here. Reasonable Accommodation: If you are an applicant who needs a reasonable accommodation to participate in the SEC application process due to a medical disability, please contact reasonableaccommodation@sec.gov. For religious-based accommodations, please contact religiousaccommodation@sec.gov . 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: For more information, please click here. 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.
