Skip to main content Skip to footer site map
This Position Is No Longer Available

Job Title:  Regional Director (PLRO)
Agency:  Securities and Exchange Commission
Job Announcement Number:  14-981194-DW

This position is closed and no longer accepting online applications through USAJOBS.

The contents of the announcement can still be viewed.
$147,430.00 to $221,735.00 / Per Year
Thursday, October 24, 2013 to Thursday, November 07, 2013
Full Time - Excepted Service Permanent
1 vacancy in the following location:
Philadelphia, PA View Map
US Citizens and Non Citizens


Do you want to perform challenging work in a collegial environment, while enjoying quality of life and a competitive compensation package? Invest in your career at the U.S. Securities and Exchange Commission (SEC)!

The SEC's mission is to protect investors, maintain fair, orderly, and efficient markets, and facilitate capital formation. The agency seeks high-caliber professionals who share the same values of integrity, fairness, accountability, resourcefulness, teamwork, and commitment to excellence.


The SEC offers a number of enhanced pay and benefits plus the standard Federal benefits:


·         Paid dental insurance and vision insurance.

·         Increased agency subsidy for health insurance which supplements your health benefits premiums by $25 for self-only coverage, and $50 for family coverage.

·         Mass transportation subsidy up to $245 per month.

·         Telework Opportunities

·         Domestic Partner Health Insurance Reimbursement Program


This position is in the Philadelphia Regional Office located in Philadelphia, PA.


To find out more, go to



  • This position is open to all U.S. citizens and persons lawfully admitted
  • for permanent residence and seeking citizenship as outlined in
  • 8 U.S.C. 1324b(a)(3)(B).


Back to top

The Regional Director is responsible for the day-to-day oversight and administration of compliance, investigation and litigation activities in the Philadelphia Regional Office.


Principal functions of this office include (1) inspection of broker-dealers, transfer agents, investment companies and investment advisers; (2) investigation of possible violations of federal securities laws; and (3) trial of civil cases in United States District Courts and administrative proceedings before administrative law judges; (4) interpretations regarding the application and meaning of Commission rules and regulations; and, (5) assistance to United States Attorneys in the prosecution of criminal cases.


Incumbent's primary responsibility is to coordinate the various program and management activities within the region and with the Headquarters staff, as appropriate. In doing so, receives general program and policy guidance and direction and management oversight from the Director of the Division of Enforcement, the Director of the Office of Compliance Inspections and Examinations, and from other Headquarters Divisions/Offices, depending upon the program area involved.


The Regional Director:


·         Is responsible for overseeing the initiation and conduct of investigations deemed necessary to determine whether violations of any of the federal securities laws, or the rules and regulations adopted thereunder, have occurred or are about to occur; the conduct of administrative and district court proceedings resulting from enforcement investigations; the conduct of inspections of broker-dealers, transfer agents, investment advisers and investment companies registered with the Commission; and the continuous review of internal operating procedures of the regional office to improve program execution, to promote increased efficiency of operations and to assure the full utilization of resources.


·         Has overall responsibility, as well as delegated authority, for the oversight and administration of broad, emerging, and/or critical Commission programs or operations.


·         Develops, conceives, plans, and implements policies and guidelines affecting broad, emerging, and/or critical agency programs. Assists in the translation of new legislation into program goals, actions, and policies, interpreting the impact of new legislative requirements on agency programs. Provides input to top executives of the agency on management and internal process improvements to improve the effectiveness of major agency operations and functions.


·         Establishes and clearly communicates performance expectations for staff members. Provides feedback and periodically evaluates staff on performance. Resolves informal complaints and grievances. Takes personnel actions as necessary.  Promotes the spirit and practice of diversity and is responsible for furthering the goals of equal employment opportunity (EEO).


·         Establishes and maintains effective working relationships with senior officials in other SEC Offices and Divisions; state and federal government agencies, civil and criminal; SRO’s, regulated entities, and public companies; the securities bar; and the media. Participates in and leads programs aimed at communicating agency priorities and objectives to industry representatives, investors, other regulators, and members of the bar.


·         Has high-level oversight of regional administrative functions, including internal controls, budgets, information technology, and other administrative support.



Back to top

All qualification requirements must be met by the closing date of this announcement.


Qualifying education must have been obtained from an accredited college or university recognized by the Department of Education. Additional information on the qualification requirements is outlined in the OPM Qualifications Standards Handbook of General Schedule Positions. It is available for your review in our office, in other Federal agency personnel offices, and on OPM's web site at


Basic Qualifications:  Candidate must possess a J.D. or LL.B. degree and be an active member of the bar in good standing in any state, territory of the United States, the District of Columbia, or the commonwealth of Puerto Rico.


Minimum Qualification Requirements: In addition to the Basic Qualifications, candidate must have at least have four years post J.D. experience as a practicing attorney, three years of which include applying knowledge and experience in 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.


Knowledge, Skills and Abilities: Your qualifications will be further evaluated based upon the following KSAs. Your resume and application package will be used to evaluate your qualifications for this position. Accordingly, KSA narratives are not required. Failure to demonstrate your qualifications may result in being considered not highly qualified for the position.


·           Leading Change/Achieving Results

·           Management Experience

·           Building Coalitions/Communications

·           Knowledge of and skill conducting complex investigations

·           Knowledge of securities litigation as it relates to civil actions and/or administrative proceedings

·           Knowledge of and exposure to the operations and/or the examination of broker-dealers, transfer agents, investment advisers and investment companies

·           Knowledge and understanding of the Securities Act of 1933, the Securities Exchange Act of 1934, the Investment Company Act of 1940, and the Investment Advisers Act of 1940

·           Ability to analyze complex problems and devise innovative solutions

Important Notes:


1. Application procedures are specific to this vacancy announcement. Please read all the instructions carefully.  Failure to follow the instructions may result in your not being considered for this position.

2. Male applicants born after December 31, 1959, must have registered for the selective service.  For more information, visit

3. Supplementary vacancies may be filled in addition to the number stated in this announcement.

4. The full performance level of this position is SO-02. 

5. This appointment may require completion of a trial period up to two years.

6. SECURITY CLEARANCE: Entrance on duty is contingent upon completion of a pre-employment security investigation. Favorable results on a Background Investigation may be a condition of employment or selection to another position.

7. PERMANENT CHANGE OF STATION (PCS): Moving/Relocation expenses may be authorized.

8. DIRECT DEPOSIT: All Federal employees are required to have Federal salary payments made by direct deposit to a financial institution of their choosing.

9. This position is not in the bargaining unit.

Information for Veterans:  You may be eligible to receive preference in appointment.  For more information please visit: 


BASIS OF RATING: Once the announcement closes, your application will be automatically evaluated and rated by the system and a Human Resources Specialist. To determine if you are qualified for this job, a review of your application and supporting documentation will be made and compared against your responses to the occupational questionnaire. The numeric rating you receive is based on your responses to the questionnaire. The score is a measure of the degree to which your background matches the knowledge, skills, and abilities required of this position. If, after the Human Resources Specialist reviews your resume and/or supporting documentation, a determination is made that the score you have received is not a true reflection of your qualifications and/or experience, your score can and will be adjusted to more accurately reflect the information you provided that support your abilities. Please follow all instructions carefully. Errors or omissions may affect your rating.


Back to top

The Federal Government offers a comprehensive benefits package. Explore the major benefits offered to most Federal employees at


The SEC provides reasonable accommodations to applicants with disabilities. If you need a reasonable accommodation for any part of the application and hiring process, send an email to  or call 202-551-4158.  To request sign language interpreting services for interviews, send an email to at least 5 business days before the date you will need this service.


TTY/ASCII users should use the toll free Federal Relay Service number: 1-800-877-8339 and provide the SEC number of the office or individual you are calling about this vacancy. For more information about using the Federal Relay Service see:


Back to top

To be considered for this position, you must submit a complete Application Package.


All materials must be received by 11:59 p.m. EST, Thursday, November 07, 2013 to be considered.


Please follow the instructions listed below for submitting the Occupational Questionnaire, Résumé, and Required Documents. Please read all instructions before you begin. You are solely responsible for the delivery of your materials. We cannot be responsible for incompatible software, illegible fax transmissions, etc.


To begin the process, click the Apply Online button to create an account or log in to your existing USAJOBS account. Follow the prompts to complete the occupational questionnaire. Please ensure you click the Submit My Answers button at the end of the process.


To fax supporting documents you are unable to upload, complete this cover page using the following Vacancy ID 981194.  Fax your documents to 1-478-757-3144.


If you cannot apply online:

1. Click the following link to view and print the occupational questionnaire View Occupational Questionnaire, and

2. Print this 1203FX form to provide your response to the occupational questionnaire and

3. Fax the completed 1203FX form along with any supporting documents to 1-478-757-3144. Your 1203FX will serve as a cover page for your fax transmission. 


For this job announcement the following documents are required: 


·         Résumé: Must contain a detailed description of your duties, the date you performed them (MM/YY), and your work schedule

·         Responses to the Occupational Questionnaire

·         For Veterans: DD-214; For Disabled Veterans: DD-214, SF-15 and VA letter dated 1991 or later (if you are claiming veterans preference)


Donnis M. Wallace
Phone: (202)551-7467
Fax: (202)777-1028
Agency Information:
Securities and Exchange Commission
100 F Street NE
Washington , DC
20549 Fax: (202)777-1028


After a review of your résumé, required documents and assessment questionnaire is complete, you will be notified of your rating and or referral to the hiring official. If further evaluation or interviews are required you will be contacted.

Back to top
EEO Policy Statement | Reasonable Accommodation Policy Statement | Veterans Information | Legal and Regulatory Guidance