Clarification from the agency

This position is open to US Citizens.

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The Division of Enforcement investigates possible violations of securities laws, recommends Commission action when appropriate, either in federal court or before an administrative law judge, and negotiates settlements. The successful candidate will work with the Division's Deputy Chief Litigation Counsel and Chief of the Office of Bankruptcy, Collections, Distributions and Receiverships, and other supervisory personnel in the direct supervision of the Home Office Trial Unit located in the SEC's Headquarters in Washington, DC. The incumbent will conduct, supervise, coordinate and evaluate for quality control the United States district court litigation and administrative proceedings conducted by the Home Office as well as the Division's eleven regional offices.

This responsibility includes reviewing and supervising pre-trial matters, including depositions and discovery, as well as supervision of the conduct of the actual trial. The incumbent oversees the Commission's nationwide litigation program, ensuring that the Commission is well represented in district courts and in administrative proceedings, and that consistent positions are taken and quality representation is consistently provided on a prompt and efficient basis. The incumbent also oversee the process through which the SEC returns money to harmed investors - through distributions and the work of court-appointed receivers - and collects outstanding monetary judgments both in district court and bankruptcy proceedings. The incumbent also works closely with the Division Director and Deputy Director, as well as other members of the senior leadership to ensure effective coordination of litigation and litigation-related issues Division-wide, as well as with other Divisions within the Commission structure.

Typical Duties Include:

• Supervising and directing the Division of Enforcement's litigation program conducted by attorneys who are under the direct supervision of the Chief Litigation Counsel.
• Supervising and coordinating all cases in litigation in Headquarters and regional offices of the Commission, to include the activities of all trial attorneys nationwide.
• Supervising bankruptcy, receivership, collections and distributions aspects of investigations and of cases in the United States district court litigation and administrative proceedings conducted by the Headquarters office and the regional offices.
• Establishing and monitoring standards of quality control for the preparation of legal papers and documents used in administrative and court proceedings.
• Working closely with the Division Director, Deputy Director and other senior personnel on matters in investigation that may or may not result in actual litigation.
• Supervising and managing a staff comprised of attorneys and clerical support to ensure that manpower and resources are being utilized in the most effective manner. Counseling employees on administrative and technical matters. Assigning work based on program priorities and subordinates' capability. Evaluating employee performance, resolves employee complaints, and effects disciplinary measures as required. Recommending promotions and reassignments.
• Supervising the Division's collections efforts in federal district courts nationwide.
• Participating actively with and giving advice to appellate attorneys in the Office of General Counsel in the preparation of briefs to be filed in U.S. Circuit Courts of Appeal resulting from the appeal of enforcement cases decided in the U.S. District Courts.
• Developing appropriate training programs which have as their objectives the improvement of pre-trial preparation, the raising of the quality of moving papers filed in administrative and court proceedings and the development of trial skills and techniques on the part of trial attorneys.
• Participating as a panelist on behalf of the division and the Commission in collaborative law enforcement programs, bar association presentations, industry conferences and meetings, and law school conferences held by similar groups and associations.
• As a member of the top managerial group of the Division, actively participating in meetings involving all aspects of the Division's responsibilities. Making known his/her own views and opinions as to proposed courses of action and, upon assignments by the Director, accepts responsibility for special phases or projects.
• Advising the Director and Deputy Director and/or the Commission regarding enforcement strategy for important and sensitive cases. Giving similar advice and guidance to Regional Directors and Regional Trial Counsel and trial attorneys.

Conditions of employment

• You must possess a J.D. or LL.B Degree.
• You must be an active member of the bar in good standing.
• CITIZENSHIP: This position is open to US Citizens.
• 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.
• For consideration at the SO-2 level, you must currently hold a SO-2 position within the SEC.
• Due to COVID-19, the SEC is currently in an optional telework posture. This position is eligible to request telework in accordance with the SEC 's telework policy.
• All SEC employees (whether teleworking or working onsite) who are not approved for a reasonable accommodation must be fully vaccinated against COVID-19.
• For information about where to obtain a vaccine at no cost to you, please visit Vaccines.gov.

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 --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 the following:
  1. Applying knowledge and experience in interpreting Federal securities laws, and conducting securities investigations, and enforcement activities under the Federal Securities Acts relating to the anti-fraud, anti-manipulative, and other provisions of the Acts.

How you will be evaluated

You will be evaluated for this job based on how well you meet the qualifications above.

Your resume and supporting documentation will be used to determine whether you meet the job qualifications listed on this announcement. If you are basically qualified for this job, your resume and supporting documentation will be compared to your responses on the Occupational Questionnaire. All applicants found to be minimally qualified will be required to provide narrative responses (500 words or less per question) regarding the executive (core) and technical qualifications. After the announcement closing date, an HR specialist will determine if you meet the minimum qualifications described in the Qualifications Section. If you do, you will receive an email asking you to respond to the core and technical qualifications listed below. You must provide your responses within the established deadline.

You will be rated on the following Competencies:

Core Qualifications:

1. 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.
2. 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.
3. Building Coalitions/Communications: Experience explaining, advocating, and expressing facts and ideas (both orally and in writing) in a convincing manner. 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.