Clarification from the agency

This position is open to US Citizens.

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As an Associate Director in Disclosure Operations within the Division of Corporation Finance, and a direct report to the Deputy Director, Disclosure Operations, you would be responsible for assisting Division leadership with oversight of the Disclosure Review Program, including the Division's selective review of offering documents and periodic filings submitted pursuant to the Securities Act of 1933 and the Securities Exchange Act of 1934. You would supervise the staff's reviews to ensure compliance with the applicable disclosure and accounting requirements, collaborate with the Division's senior leadership to set guidelines for interpretive positions taken by staff within certain industry offices, consistent with the Commission's statutory mission.

Typical duties include:

• Advising on transactions and interpretive questions arising under the Securities Act of 1933; the registration, reporting, proxy, and other disclosure and fraud provisions of the Securities Exchange Act of 1934; the Trust Indenture Act of 1939; the Sarbanes-Oxley Act of 2002; the Dodd-Frank Wall Street Reform and Consumer Protection Act; and the rules and regulations promulgated under the foregoing statutes; and assuring compliance with the requirements of the forms and procedures administered by the Division.
• Establishing review goals and assisting the Deputy Director, Disclosure Operations with administration of the Disclosure Review Program to efficiently achieve specified goals and objectives. Maintaining policies, procedures, and resources to reflect current priorities; developing new policies and procedures in response to emerging trends, changing priorities and new legislation.
• Supervising the maintenance of an informational and legal interpretative program in assigned offices to assist and advise registrants, prospective registrants, accounting firms, legal firms, financial firms, investment firms, and the general public with respect to the registration, reporting, and other disclosure requirements of the statutes and rules administered by the Division.
• Providing guidance and leadership to direct reports, including assigned Industry Office Chiefs, and collaborating with other Division offices to enhance the effectiveness of filing review outcomes.
• Serving as an advisor on a broad set of functions that support innovation in Disclosure Operations. Maintaining the Division's outreach and consultation efforts to inform the Division's work to facilitate capital formation and enhance investor protection.
• Performing the administrative and human resource management functions relative to supervised staff including: planning, scheduling, and assigning work; establishing guidelines and performance expectations for staff; providing feedback; periodically evaluating employee performance; overseeing training and development of staff; managing time and attendance; promoting a diverse and inclusive work environment that drives a positive "tone at the top"; and carrying out Equal Employment Opportunity (EEO) policies through active participation in program activities that foster positive working relationships and collaborative behavior.

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.
• There may be multiple vacancies 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.

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 at least four years of post J.D. work experience identifying legal issues, providing legal analyses, recommendations, and preparing complex legal documents, which also includes at least three years of specialized experience:

1) Interpreting and providing guidance on securities regulatory matters involving business combinations, proxy solicitations, tender offers, beneficial ownership reporting, corporate governance, securities issuances by sovereigns or foreign private issuers, or issuances of asset-backed securities;
2) Overseeing the preparation or review of SEC filings in connection with the foregoing;
3) Providing legal advice regarding the general application of the Securities Act of 1933, Exchange Act of 1934, and other federal securities laws and recommending the resolution of disclosure reporting issues; and
4) Providing guidance and evaluation of rulemaking initiatives and overarching policy issues related to the federal securities laws.

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 may provide narrative responses (500 words or less per question) addressing the executive (core) and technical qualifications. After the announcement closing date, you will receive an email asking you to respond to the core and technical qualifications. You must provide your responses within the established deadline.

You will be rated on the following Executive Core/Technical Qualifications:

Core Qualifications:

1. Managing 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. Work environment may be experience working with the press, political appointees, Congress, and other high-level organization 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:

1. Experience interpreting and applying the Securities Act of 1933, the Securities Exchange Act of 1934, the Trust Indenture Act of 1939, the Sarbanes-Oxley Act of 2002, and the Dodd-Frank Wall Street Reform and Consumer Protection Act.
2. Experience analyzing technical operational, business, and legal problems and devising innovative solutions.