Senior Officer-Associate Director

The Associate Director, under the general direction of the Director of Enforcement and applicable Deputy Director, plans and establishes procedures for enforcement investigations, and directs, coordinates, controls, and evaluates the performance of Enforcement Division staff operations.

Duties:

• Managing investigations and litigation of alleged violations of the federal securities laws.
• Identifying and evaluating the types of practices engaged in, their significance under the laws and regulations administered by the Commission, and determining appropriate procedures or remedies to be applied.
• Managing resources, overseeing investigative strategies, approving prospective recommendations to the Commission, reviewing Commission memoranda and court pleadings, and overseeing training of staff attorneys.
• Managing and participating in certain significant and complex investigations and litigation.
• Representing the Commission in dealings with the public and the news media.
• Performing the full range of supervisory duties, including evaluating employee performance; making recommendations for appointment and promotion; hearing and resolving complaints; identifying development and training needs of employees; and other related supervisory tasks.
• Supervising the activities of staff members in connection with administrative proceedings before agency Administrative Law Judges, before the Commission and in connection with actions filed in federal district court.
• Contacting and collaborating with high-ranking officials from other federal agencies and departments of government, congressional staff officials, state officials and/or executives of comparable private sector organizations.

• CITIZENSHIP: You must be a US Citizen.
• You must possess a J.D. or LL.B Degree and you must be an active member of the bar in good standing.
• SELECTIVE SERVICE: Males born after 12/31/59 must be registered or exempt from Selective Service (see https://www.sss.gov/).
• TRIAL PERIOD: Consistent with 5 U.S.C. § 7511, you will be required to serve a two-year trial period (one year for preference eligible veterans) if the position to which you have applied is not the same or similar to your current position of record.
• 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.
• 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 and may be filled from any division or office within the agency.
• This position has promotion potential to the SO-02.
• This position is not in the collective bargaining unit NTEU Chapter 293.

Applicants are responsible for confirming all required materials are submitted by the closing date of the announcement. Please check the How You Will Be Evaluated and Required Documents sections carefully, as missing documents will render the application incomplete and ineligible for review.

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. All qualification requirements must be met by the closing date of this announcement.

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: Applicants must have four year(s) 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. Specialized experience includes:
  1. Interpreting Federal securities laws; and
  2. Conducting investigations and enforcement activities under the Federal securities Acts relating to the anti-fraud, anti-manipulative, and other provisions of the Acts.

1. Leading the Organization: Build and support the organization's vision, create strategies to achieve the vision, support and lead innovative and creative initiatives to meet organizational goals.
2. Leading and Developing People: Recruit, lead, develop and manage the workforce, constructively manages differences and potential conflicts between employees, building teams that meet and exceed an organization's mission, strategic plan, and goals.
3. Results Orientation: Meet organizational goals by effectively managing program area, identifying and solving important problems, making sound and timely decisions, and effectively managing and sharing information.
4. Building Coalitions: Build coalitions by partnering with others to build strategic relationships, influencing and negotiating with those in sphere of influence to achieve favorable outcomes for an organization.
5. General Legal Guidance: Apply and explain the provisions of the laws, rules, and regulations that govern the securities industry.
6. Investigation, Wells Process, Commission Authorization Process: Assists with investigations and steps leading to the filing of enforcement actions.
7. Creativity and Innovation: Ability to imagine or conceive of something new and original, and balances the creative idea against the status quo, to recommend which creative ideas to fully develop into new or cutting-edge programs/ processes.