Job Overview

Summary

The U.S. Securities and Exchange Commission is looking for the best and brightest to join our team. Our mission includes advocating for investors who seek to secure a future for their family, providing guidance and regulations for the nation’s securities industry in an increasingly global market, and taking action with an eye toward promoting the capital formation necessary to sustain economic growth.

A career with the Securities and Exchange Commission (SEC) offers work that is exciting, challenging and rewarding. You can contribute to securities regulation and enforcement while making a positive difference for the American investing public. The SEC provides:

  • Careers that broaden and deepen your already accomplished knowledge, skills and abilities;
  • An environment that allows you to work and learn with the nation’s experts;
  • Benefits, compensation and career expansion opportunities; and
  • A balance between your professional and family life.

To find out more about the SEC, go to http://www.sec.gov

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

  • Paid dental and vision insurance;
  • Subsidy for health insurance, which supplements your health benefits premiums by $25 for self-only coverage and by $50 for family coverage;
  • Domestic Partner Health Insurance Reimbursement Program;
  • Mass transportation subsidy;
  • "WorkSmart" - Opportunities for flexible work schedules and expanded telework

This position is located in the Denver Regional Office, Office of Compliance Inspections and Examinations (OCIE) located in Denver, CO.

Duties

The Associate Regional Director (OCIE) , under the general direction of the Regional Director, plans and establishes policy for the Office of Compliance Inspections and Examinations in the Denver Regional Office (DRO) and directs, coordinates, controls, and evaluates the performance in this area.  The principal functions of this office include: inspection of broker-dealers, transfer agents, investment companies and investment advisers; interpretations regarding the application and meaning of Commission rules and regulations; investigation of possible violations of the federal securities laws; and assistance to United States Attorneys in the prosecution of criminal cases. 

Typical duties include:

  • Participating with appropriate divisions in the headquarters office in planning and evaluating the overall program of the Region with respect to compliance/examinations matters.
  • Ensuring that the overall compliance and examination activities are carried out consistent with overall Commission and National Exam Program guidelines and priorities. 
  • Managing resources, overseeing investigative strategies, approving prospective recommendations to the Commission, reviewing Commission memoranda and court pleadings, and training of staff attorneys. 
  • 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.
  • Communicating with FINRA and other self-regulatory organizations in order to monitor the operational and financial condition of securities industry registrants within the region. 
  • 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.

Travel Required

  • Occasional Travel
  • Yes

Relocation Authorized

  • No