This Position Is No Longer Available
  1. Overview
  2. Duties
  3. Qualifications & Evaluations
  4. Benefits & Other Info
  5. How to Apply

Job Title:Associate Regional Director (OCIE)

Agency:Securities and Exchange Commission

Job Announcement Number:14-EX-1101435-KR

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

The contents of the announcement can still be viewed.

SALARY RANGE:

$151,876.00 to $221,968.00 / Per Year

OPEN PERIOD:

Monday, April 21, 2014 to Monday, May 05, 2014

SERIES & GRADE:

SO-0905-01

POSITION INFORMATION:

Full Time - Excepted Service Permanent

PROMOTION POTENTIAL:

02

DUTY LOCATIONS:

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).

SECURITY CLEARANCE:

Other

SUPERVISORY STATUS:

Yes

JOB 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.

TRAVEL REQUIRED

  • Occasional Travel
  • Yes

RELOCATION AUTHORIZED

  • No

KEY REQUIREMENTS

  • 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:

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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:

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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. 

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.


Important Notes:

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#ictapTo 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.

Core Qualifications:

  • Management Experience: Experience designing and implementing strategies which maximize employee potential and foster high ethical standards in meeting the organization’s 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.

Technical Qualifications:

  • 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


BENEFITS:

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The Federal Government offers a comprehensive benefits package.  Explore the major benefits offered to most Federal employees at https://help.usajobs.gov/index.php/Pay_and_Benefits

OTHER INFORMATION:

Selective Service: If you are a male applicant born after December 31, 1959, you must certify that you have registered with the Selective Service System, or are exempt from having to do so under the Selective Service Law. See http://www.sss.gov/.

Reasonable Accommodation Statement: 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 DisabilityAccommodation@SEC.gov  or call 202-551-4158.  To request sign language interpreting services for interviews, send an email to SECInterpreter@sec.gov 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: http://fts.gsa.gov/frs/tollfree.htm.



HOW TO APPLY:

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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, Monday, May 05, 2014 to be considered.

Please follow the instructions listed below for submitting the resume, 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
,
https://my.usajobs.gov/Account/Login, 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
http://staffing.opm.gov/pdf/usascover.pdf and provide the required information.  The Vacancy ID is 1101435.
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
http://www.opm.gov/forms/pdfimage/opm1203fx.pdf
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.



REQUIRED DOCUMENTS:

You must provide a complete Application Package, which includes:

  • Required: Your responses to the Occupational Questionnaire. (Online or 1203-FX)
  • Required: Your resume showing relevant duties, when the duties were performed (MM/YY), and your work schedule (FT/PT). Note: Resumes must NOT contain pictures.
  • If selected, you must provide a copy of your law school transcripts and proof of bar membership.

AGENCY CONTACT INFO:

Karla M. Ruiz
Phone: (202)551-7648
Email: RUIZK@SEC.GOV
Agency Information:
Securities and Exchange Commission
100 F Street NE
Washington, DC
20549

WHAT TO EXPECT NEXT:

You will be notified of your application status through USAJOBS at four points during the hiring process, as applicable. You can check the status of your application by accessing the USAJOBS website at http://usajobs.gov/ and clicking on “Track Your Online Application.”

By submitting your application, you are certifying the accuracy of the information contained in your application. If you make a false statement in any part of your application, you may not be hired, you may be terminated after you begin work, or you may be fined or jailed. After making a tentative job offer, we will conduct a suitability/security background investigation. You will be required to submit official documentation before appointment. The agency will then verify the information provided on your application (i.e., degree, Veterans’ documentation, certification of disability, etc.).


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Job Announcement Number:

14-EX-1101435-KR

Control Number:

367636400