The Division of Enforcement investigates possible violations of securities laws, recommends Commission action when appropriate, either in a federal court or before an administrative law judge, and negotiates settlements.Learn more about this agency
The Office of Market Intelligence is responsible for a variety of intelligence, analytic, and data and technology programs and activities to identify fraud, misconduct, market practices and other activities that constitute securities law violations and pose potential risks to investors. OMI intakes, analyzes, and evaluates thousands of tips, complaints, and referrals (TCRs) and other reports, information, data, and intelligence that the SEC receives each year, and develops and refers leads to agency staff for potential investigation or other response.
If selected, you will serve as a Supervisory General Attorney (Branch Chief) in the Enforcement Division's Office of Market Intelligence (OMI) reporting to and working under the general direction of an OMI Assistant Director. You will manage and oversee the intake, initial early stage triage, and operational functions of the Tips, Complaints and Referrals (TCR) Program.
Typical duties and responsibilities include:
- Supervises, manages, and monitors the activities and functions of a team of professional staff and contractors who intake, enter, process, review, assign, and perform initial stages of triage on tips, complaints, and referrals (TCRs) and other leads and information on a broad range of securities topics and products.
- Plans and assigns work, proactively identifies, makes decisions and implements solutions to resolve work problems and issues, and organizes and monitors assignments and the flow and performance of work to achieve the most effective and efficient results within a high volume, fast paced and dynamic environment.
- Oversees and ensures the timely and appropriate review, assignment, and disposition of TCRs and other leads and related analysis, findings, and recommendations. Identifies urgent or priority matters for escalation or expedited handling and assignment and assesses and resolves complex, novel, and specialized issues.
- Applies knowledge of legal concepts and securities laws and products to facts, information, and data in order to (1) assess issues such as jurisdiction, legal privilege, statute of limitations, potential legal and regulatory violations, and division and office mission, resources and priorities, and (2) make appropriate recommendations and decisions regarding the handling, processing, disposition, and assignment of TCRs and other information.
- Reviews and confirms decisions or recommendations to take no further action (NFA) on TCRs and other leads that encompass a broad range of securities topics and products and/or refer leads and information based on certain criteria.
- Analyzes information to identify relationships, risks, trends, and developments; integrates and synthesizes multiple sources of facts, intelligence, or data to reach and communicate reasonable findings and conclusions.
- Develops, implements, and maintains program and office initiatives, policies, processes and protocols, guidance, and plans.
- Communicates and coordinates with other agencies and external parties; manages external referral and information sharing processes and protocols; and coordinates or participates in internal and external task forces, initiatives, and other committees.
- Responds to inquiries and requests from internal stakeholders relating to program or office matters (including legal, policy, and procedural questions); provides guidance, training, and feedback; and supports communications, reporting, oversight and risk management activities.
- Develops and implements requirements for business operations, knowledge management and analytical tools, reports, dashboards and other products for trend analysis, program, operational and risk management, and intelligence.
- Carries out supervisory duties, such as performance management, training and mentoring, office and personnel development, awards, recruitment, and informs employees of policies, procedures, and goals as they relate to their work on assigned projects.
This job originated on www.usajobs.gov. For the full announcement and to apply, visit www.usajobs.gov/GetJob/ViewDetails/588951300. Only resumes submitted according to the instructions on the job announcement listed at www.usajobs.gov will be considered.