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This Position Is No Longer Available

Job Title:  Associate Regional Director
Agency:  Securities and Exchange Commission
Job Announcement Number:  14-EX-982270-DW

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

The contents of the announcement can still be viewed.
$158,265.00 to $221,736.00 / Per Year
Friday, October 25, 2013 to Friday, November 08, 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 Securities and Exchange Commission's mission is to protect investors, maintain fair, orderly, and efficient markets, and facilitate capital formation. The agency seeks high-caliber employees who share the same values of integrity, fairness, accountability, resourcefulness, teamwork, and commitment to excellence.


The SEC offers a number of exceptional enhanced pay and benefits plus the standard Federal benefits!  Enjoy with SEC:


·         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

·         SEC’s Domestic Partner Health Insurance Reimbursement Program

·         Telework Opportunities


To find out more, go to


This position is in the Philadelphia Regional Office, Office of Associate Regional Director (Enforcement) located in Philadelphia, PA. 


  • 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).


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Under the general direction of the Regional Director, the incumbent plans and establishes policy for the enforcement program of the Philadelphia Regional Office (PLRO) and directs, coordinates, and evaluates the performance of staff operations in this area. Incumbent participates with appropriate divisions in the headquarters office in planning and evaluating the overall program of the Region with respect to enforcement matters.


Responsible for the investigation and litigation of alleged violations of the federal securities laws within the PLRO's jurisdiction. These investigations involve market manipulation of securities prices, accounting and financial reporting violations, insider trading, violations by brokers-dealers, transfer agents, investment companies and investment advisers registered with the Commission, fraud in connection with the purchase and sale or distribution of securities, and the distribution of securities without appropriate registration. Responsible for the initiation of informal investigations where it appears that these or similar violations have been or are about to be committed. When appropriate, authority will be requested from the Commission to conduct a formal investigation, with power to administer oaths and issue subpoenas enforceable in federal courts.


In all of these matters, the incumbent is charged with identifying and evaluating the types of practices engaged in, their significance under the laws and regulations administered by the Commission, the determination of appropriate procedures or remedies to be applied.

The incumbent has responsibility for managing resources, overseeing investigative strategies, approving prospective recommendations to the Commission, reviewing Commission memoranda and court pleadings, and training of staff attorneys. The incumbent may also personally manage and participate in certain significant and complex investigations and litigation. He/she represents the Commission in dealings with the public and the news media. The incumbent performs 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.


Supervises 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 on matters under the jurisdiction of the regional office.


Contacts and collaborates 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. 


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


Qualifying experience may be obtained in the private or public sectors. 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


To qualify for this position, applicants 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; AND


B. Four years post J.D. experience as a practicing attorney; three years of which include applying knowledge and experience interpreting federal securities laws and conducting securities investigations and enforcement activities under all the Federal Securities Acts; experience related to the conduct of civil litigation in the District and appellate courts relating to the anti-fraud, anti-manipulative, and other provisions of the Acts; experience in
the conduct of administrative proceedings, including stop order proceedings, and broker-dealer proceedings. 


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.  Failure to demonstrate your qualifications may result in being considered not highly qualified for the position.


·         Management Experience

·         Leading Change/Achieving Results

·         Building Coalitions/Communications

·         Extensive experience that demonstrates a high level of 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.



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. Please follow all instructions carefully. Errors or omissions may affect your rating.


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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. For more information about using the Federal Relay Service see:


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


All materials must be received by 11:59 p.m. EST, Friday, November 08, 2013 to be considered.


Please follow the instructions listed below for submitting the Résumé, Occupational Questionnaire 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.


1. To begin, click Apply Online to create a USAJOBS account or log in to your existing account. Follow the prompts to select your USAJOBS resume and/or other supporting documents and complete the occupational questionnaire.

2. Click the Submit My Answers button to submit your application package.

3. To verify your application is complete, log into your USAJOBS account,, select the Application Status link and then select the more information link for this position. Your uploaded documents may take several hours to clear the virus scan process.

4. To return to an incomplete application, log into your USAJOBS account and click Update Application in the vacancy announcement.  You must re-select your resume and/or other documents from your USAJOBS account or your application will be incomplete.

Faxing Applications or Supporting Documents:

You are encouraged to apply online.  Applying online will allow you to review and track the status of your application. If you completed the occupational questionnaire online and are unable to upload supporting document(s):


1. Print the following cover page and provide the required information.  The Vacancy ID is 982270.

2. Fax your documents to 1-478-757-3144.


If you cannot complete the Application Package online, you may fax all of your materials.  Keep a copy of your fax confirmation in the event verification is needed.


To complete the occupational questionnaire and submit via fax:

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

2. Print the 1203FX form, follow the instructions and provide your responses to the occupational questionnaire items

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 



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.

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