Job Title: Associate Regional Director (OCIE) Job Announcement Number: 14-EX-1101435-KR
Agency: Securities and Exchange Commission
This position is closed and no longer accepting online applications through USAJOBS.
The contents of the announcement can still be viewed.
/ Per Year
Monday, April 21, 2014 to
Monday, May 05, 2014
SERIES & GRADE:
Full Time -
Excepted Service Permanent
1 vacancy in the following location:
Denver, CO View Map
WHO MAY APPLY:
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).
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 nations 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 nations 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.
- This position is open to US Citizens AND
- persons lawfully admitted for permanent residence and seeking citizenship
- as outlined in 8 U.S.C. 1324b(a)(3)(B)
DUTIES:Back to top
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.
QUALIFICATIONS REQUIRED:Back to top
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
- 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.
Applicant must have four years of post J.D. experience as a practicing attorney; three years of which include interpreting and applying the provisions of the Investment Company Act of 1940 and Investment Advisers Act of 1940; providing guidance and evaluation on policy issues related to the federal securities laws; investigating possible violations of federal securities laws and regulations; examining broker-dealers, transfer agents, investment advisers or investment companies; and/or managing a team or group that conducts examinations or audits of financial or securities firms.
1. 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).
2. Application procedures are specific to this vacancy announcement. Please read all the instructions carefully. Failure to follow the instructions may result in you not being considered for this position.
3. Supplementary vacancies may be filled in addition to the number stated in this announcement.
4. FULL PERFORMANCE LEVEL: This position has promotion potential to the SO-02.
5. TRIAL PERIOD: This appointment may require completion of a two-year trial period.
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 are not 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 collective bargaining unit.
Surplus or Displaced Federal Employees: For information on how to apply through the Interagency Career Transition Assistance program (ICTAP) see http://www.opm.gov/rif/employee_guides/career_transition.asp#ictap. To exercise selection priority for this vacancy, displaced Federal employees must meet the Well Qualified criteria of the rating scale for this position.
Disability Employment: For information on disability appointments please visit: http://www.opm.gov/policy-data-oversight/disability-employment/
HOW YOU WILL BE EVALUATED:
If you meet the minimum qualifications stated in the vacancy announcement, we will compare your resume and supporting documentation to your responses on the occupational questionnaire. Your resume must support your responses to the occupational questionnaire. After review of your application materials, if you are determined to be minimally qualified, you will be referred to the selecting official.
You will be rated on the following Knowledge, Skills, and Abilities (KSAs): If you are determined to be minimally qualified, these KSAs will be assessed in the interviews.
- Management Experience: Experience designing and implementing strategies which maximize employee potential and foster high ethical standards in meeting the organizations vision, mission, and goals.
- Leading Change/Achieving Results: Experience developing and implementing an organizational vision which integrates key national and program goals, priorities, values, and other factors of that organization. Examples should include experience implementing change in his/her organization, exercising leadership and motivating managers to incorporate vision and strategic planning into the process.
- Building Coalitions/Communications: Experience explaining, advocating, and expressing facts and ideas (both orally and in writing) in a convincing manner. Work environment may be experience working with the press, political appointees, Congress, and other high-level organizations and staff on various types of important national issues. Experience includes working in groups and teams conducting briefings with outside groups and gaining cooperation from others to obtain information and accomplish goals.
- Knowledge of and experience with compliance and inspection issues related to the securities industry.
- Ability to analyze complex problems and devise innovative solutions.
The Occupational Questionnaire will take you approximately 10 minutes to complete. To preview the Occupational Questionnaire, click the following link View Assessment Questions