This is a Senior Officer position located in Atlanta, GA. This is a term position not-to-exceed three years and may be extended for one additional year without further competition.
The Regional Director is responsible for the day-to-day oversight and administration of examination, investigation and litigation activities in the Atlanta Regional Office. Principal functions of this office include: inspection of broker-dealers, transfer agents, investment companies and investment advisers; investigation of possible violations of federal securities laws; trial of civil cases in United States District Courts and administrative proceedings before administrative law judges; interpretations regarding the application and meaning of Commission rules and regulations; and assistance to United States Attorneys in the prosecution of criminal cases.
Typical duties include:
Coordinating the various program and management activities within the region and with the Headquarters staff, as appropriate.
Receiving 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.
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.
Reviewing 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.
Participating in and leading programs aimed at communicating agency priorities and objectives to industry representatives, investors, other regulators, and members of the bar.
Establishing and maintaining effective working relationships with senior officials in other SEC Offices and Divisions; state and federal government agencies, civil and criminal; SROs, regulated entities, and public companies; the securities bar; and the media.
Having high-level oversight of regional administrative functions, including internal controls, budgets, information technology, and other administrative support.
Travel Required
Occasional travel - You may be expected to travel for this position.
CITIZENSHIP: This position is open to US Citizens.
You must possess a J.D. or LL.B Degree
You must be an active member of the bar in good standing
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.
Supplementary vacancies may be filled in addition to the number stated in this announcement.
This position has promotion potential to the SO-02.
TRIAL PERIOD: This appointment may require completion of a two year supervisory/managerial trial period.
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.
DRUG TESTING: This position may be subjected to drug testing requirements.
PERMANENT CHANGE OF STATION (PCS): Moving/Relocation expenses are not authorized.
DIRECT DEPOSIT: All Federal employees are required to have Federal salary payments made by direct deposit to a financial institution of their choosing.
This position is not in the collective bargaining unit.
Term - Not-to-exceed 3 years and may be extended for 1 additional year without further competition
For consideration at the SO-2 level, you must currently hold a SO-2 position within the SEC.
Qualifications
All qualification requirements must be met by the closing date of this announcement.
Qualifying experience may be obtained in the private or public sector. Experience refers to paid and unpaid experience, including volunteer work done through National Service programs (e.g., Peace Corps, AmeriCorps) and other organizations (e.g., professional; philanthropic; religious; spiritual; community, student, social). Volunteer work helps build critical competencies, knowledge, and skills and can provide valuable training and experience that translates directly to paid employment. You will receive credit for all qualifying experience, including volunteer experience. Qualifying education must have been obtained from an accredited college or university recognized by the U.S. Department of Education.
BASIC REQUIREMENT: All applicants must possess the following
J.D. or LL.B. degree (Note: Official Transcript will be required before entry on duty.) --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.
SO-01: Applicant must have four year(s) of post J.D. work experience as a practicing attorney, three years of which includes: 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.
Requirements
Performing the full range of supervisory duties, including evaluating employee performance; making recommendation for appointment and promotion; hearing and resolving complaints; identifying development and training needs of employees; and other related supervisory tasks.
Promoting the spirit and practice of diversity, and furthering the goals of equal employment opportunity (EEO) by taking positive steps to ensure the accomplishment of affirmative action objectives, and adherence to nondiscriminatory employment practices.
Education
FOREIGN EDUCATION: If you are using education completed in foreign colleges or universities to meet the qualification requirements, you must show the education credentials have been evaluated by a private organization that specializes in interpretation of foreign education programs and such education has been deemed equivalent to that gained in an accredited U.S. education program; or full credit has been given for the courses at a U.S. accredited college or university. For further information, visit: http://www.ed.gov/about/offices/list/ous/international/usnei/us/edlite-visitus-forrecog.html
Official Transcripts will be required at the time of appointment to verify educational eligibility.
Reasonable Accommodation: If you are an applicant who needs a reasonable accommodation for disability to participate in the application process at the SEC, submit the form for Reasonable Accommodation for Participation in Job Application Process here. Please be sure to submit your request at least 5 business days in advance of the date you need the requested accommodation.
Equal Employment Opportunity (EEO) Information for SEC Job Applicants: Federal EEO laws protect all applicants from discrimination on the following bases: race, color, sex (not limited to conduct which is sexual in nature, includes pregnancy, gender identity, sexual orientation, transgender status), age (40 and over), religion, national origin, disability, genetic information, retaliation for participating in the EEO process or opposing discrimination. Applicants who believe they have been discriminated against on any EEO basis can seek recourse through the SEC's administrative complaints process. To be timely, an individual must enter the EEO process within 45 days from when they know (or should have known) of the alleged discrimination. Click here for additional information.
TTY/ASCII: Video Relay Service users are welcome to contact the appropriate SEC office or employee via the contact information listed above. If you do not otherwise have access to a Video Phone or Video Relay service, you may send us an email or use the Federal Video Relay Service via the internet. For more information about using the Federal Relay Service and to create a new account, please see: http://fedvrs.us/
You will be evaluated for this job based on how well you meet the qualifications above.
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.Applicants will be evaluated on the following competencies:
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:
Describe your experience and expertise in applying the Securities Act of 1933, the Securities Exchange Act of 1934, the Investment Company Act of 1940, and the Investment Advisers Act of 1940.
Describe your knowledge and skill conducting complex investigations.
Describe your knowledge of and exposure to the operations and/or the examination of broker-dealers, transfer agents, investment advisers and investment companies.
You must provide a complete Application Package, which includes:
Required: Your responses to the Occupational Questionnaire.
Required: Your complete and comprehensive resume that includes a complete history of your work experience and the applicable employment dates with months and years. To determine if you qualify for this position, OHR will review your work history that is relevant to the specific position for which you applied. Note: Your resume must directly address the definition of specialized experience listed in the qualification section of this announcement and must NOT contain pictures.
Required, if applicable: Veteran's documentation (DD-214, member 4 copy or other documentation containing dates of service and character of discharge.)
If you are relying on your education to meet qualification requirements:
Failure to provide all of the required information as stated in this vacancy announcement may result in an ineligible rating or may affect the overall rating.
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To apply for this position, you must complete the online application and submit the documentation specified in the Required Documents section below.
A complete application package must be submitted by 11:59 PM (EST) on the closing date of the announcement to receive consideration.
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After acknowledging you have reviewed your application package, complete the Include Personal Information section as you deem appropriate and click to continue with the application process.
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If you are unable to apply online or need to fax a document you do not have in electronic form, view the following link for information regarding an Alternate Application.
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' Preference, certification of disability, etc.).
The Federal hiring process is setup to be fair and transparent. Please read the following guidance.
Equal Employment Opportunity Policy
The United States Government does not discriminate in employment on the basis of race, color, religion, sex (including pregnancy and gender identity), national origin, political affiliation, sexual orientation, marital status, disability, genetic information, age, membership in an employee organization, retaliation, parental status, military service, or other non-merit factor.
Federal agencies must provide reasonable accommodation to applicants with disabilities where appropriate. Applicants requiring reasonable accommodation for any part of the application process should follow the instructions in the job opportunity announcement. For any part of the remaining hiring process, applicants should contact the hiring agency directly. Determinations on requests for reasonable accommodation will be made on a case-by-case basis.
A reasonable accommodation is any change to a job, the work environment, or the way things are usually done that enables an individual with a disability to apply for a job, perform job duties or receive equal access to job benefits.
Under the Rehabilitation Act of 1973, federal agencies must provide reasonable accommodations when:
An applicant with a disability needs an accommodation to have an equal opportunity to apply for a job.
An employee with a disability needs an accommodation to perform the essential job duties or to gain access to the workplace.
An employee with a disability needs an accommodation to receive equal access to benefits, such as details, training, and office-sponsored events.
You can request a reasonable accommodation at any time during the application or hiring process or while on the job. Requests are considered on a case-by-case basis.
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Learn more about
Securities and Exchange Commission
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.
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 $29.81 for self-only coverage, $55.69 for self plus one, and $59.61 for family coverage;
Domestic Partner Health Insurance Reimbursement Program;
Mass transportation subsidy;
"WorkSmart" - Opportunities for flexible work schedules and telework
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