Clarification from the agency

This position is open to US Citizens.

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The Regional Director is responsible for the day-to-day oversight and administration of examination, investigation and litigation activities in the Boston 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 Division of 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.
• 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.

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.
• This position is not-to-exceed three years and may be extended for one additional year without further competition.
• At the completion of the time limited appointment, the incumbent may reapply for one additional term, or compete for another time limited position or permanent position for which they are eligible if such positions are available.
• SEC employees who served on a permanent appointment prior to entering into this time-limited appointment will revert to a position at their prior grade level.

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.

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.