Senior Officer-Associate Director

The Division of Trading and Markets is seeking a Senior Officer-Associate Director in the Office of Market Supervision (OMS). This position is located in Washington, DC and is open to the public.

Duties

The Division of Trading and Markets (TM) is seeking a Senior Officer to help lead its Office of Market Supervision (OMS), based in Washington, DC to oversee and administer professional legal work involved in overseeing all aspects of securities and securities-based swap trading platforms such as national securities exchanges, security-based swap execution facilities, and alternative trading systems. The office also oversees rules and policy related to securities trading and the national market system.

OMS uses a collaborative, team-based approach where high-performing Assistant Directors and Senior Special Counsels lead teams of attorneys and professionals to do the work of OMS. Working with and supervising the Assistant Directors and Senior Special Counsels, you will have the opportunity to work with staff across OMS, TM, and the Commission on a variety of matters and subjects related to the trading of securities on regulated platforms. This work can include Commission rulemakings, rule and product filings by trading platforms, registration of new platforms, capital market structure issues, and new technologies such as AI and blockchains. You will be at the forefront of the Commission's efforts to establish, maintain, and review standards for fair, orderly, and efficient capital markets.

TM is particularly interested in candidates with demonstrated, experience in managing staff and/or teams, developing and advising on regulatory policy, and substantial knowledge of securities, security derivatives, or commodity derivatives markets. Significant experience with and knowledge of the Exchange Act of 1934 is required. Experience with other areas of securities regulation will be considered for exceptional candidates.

Duties:

• Plans, directs and supervises and active program of regulation of the securities industry, both directly and through supervision of national securities exchanges, alternative trading systems, security-based swap execution facilities, and FINRA. Also, organizes the implementation of Commission rulemaking as a means of ensuring the fair, orderly, and efficient operation of U.S. capital markets.
• Assists the Division Director in developing additional rules, regulations and policies in the area of market supervision, designed to assure appropriate and effective oversight of the U.S. securities markets by the Commission and self-regulatory organizations. Advises on questions of structure and operations of the securities markets, security-derivatives markets, and self-regulatory organizations.
• Establishes priorities and program goals for the regulation of the trading of securities on the equities and options exchanges and the over-the-counter market, the trading of securities-based swaps and fixed income securities, the dissemination of market data, and the listing of new products and other securities. Assesses the adequacy, efficiency, and effectiveness of regulatory measures in view of changing market conditions. Develops policies and rule recommendations to be incorporated into the program.
• Directs and coordinates studies to analyze the risks posed by new derivative products to securities markets and the financial system as a whole. Analyzes the results of studies and develops policy and rule and regulatory recommendations that provide the foundation for a comprehensive, coordinated program for regulation and oversight of derivative product trading.
• Contacts, advises and collaborates with high-ranking officials, such as agency heads, top congressional staff officials, state executives, legislative leaders, and/or executives of comparable private sector organizations. Maintains an active liaison relationship with the senior staff of other financial regulators, including the CFTC, Treasury and banking regulators.

Salary

• $207,830 - $315,481/year

Conditions of Employment

• CITIZENSHIP: You must be a US citizen.
• SELECTIVE SERVICE: Males born after 12/31/59 must be registered or exempt from Selective Service (see https://www.sss.gov/).
• 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.
• SUPERVISORY TRIAL PERIOD: This appointment may require completion of a two year supervisory/managerial trial period.
• 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.
• You must possess a J.D. or LL.B Degree and you must be an active member of the bar in good standing.
• The selectee is required to report to the duty station(s) listed.

Qualifications

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. 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: Applicant must have at least four years of experience in addressing and providing guidance and expertise in the evaluation of legal and policy securities law issues that govern the securities industry, in particular, the Securities Exchange Act of 1934, which also includes at least three years of specialized experience. Specialized experience includes:
  1. Advising on the Securities Exchange Act of 1934 compliance matters, particularly with respect to self-regulatory organizations, broker-dealers, securities exchanges, derivatives products, equities, fixed income or derivatives; OR
  2. Analyzing issues and developing regulatory policy related to the Securities Exchange Act of 1934 and its regulations, including such issues and policy related to exchange-traded products subject to the Investment Advisors Act of 1940 or Securities Act of 1933.

ACCOMPLISHMENT RECORD COMPETENCIES: Your Accomplishment Record narratives should address the following competencies. See the How You Will Be Evaluated section below for more information:

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. Rule Development: Prepares recommendations for rules that meet desired policy objectives within the Commission's statutory authority or that implement legislation.
6. Market Operations Analysis: Advises on operational risks and practices requiring an understanding of the marketplace landscape to inform and support policy development.

Education You MUST provide transcripts or other documentation to support your educational claims. Unless otherwise stated: (1) official or unofficial transcripts are acceptable, or (2) you may submit a list with all your courses, grades, semester, year, and credit for the course. If you are qualifying for this position by substituting education or training for experience, you must submit a copy of your unofficial transcripts or equivalent by the closing date of the announcement. Qualifying education must have been obtained from an accredited college or university recognized by the U.S. Department of Education. Internal Applicants: OHR will verify education qualifications for internal applicants using documents in the Electronic Official Personnel Folder (eOPF). If required transcripts or certificates are not present in your eOPF, you will be required to provide them to OHR. If selected, a start date will not be established until official transcripts are received. FOREIGN EDUCATION: If you are using education completed in foreign colleges or universities to meet the qualification requirements, you must show the education credentials have been evaluated by a private organization that specializes in interpretation of foreign education programs. For more information, click here. Applicants may also find the following helpful: National Association of Credential Evaluation Services (NACES) is an association of 19 credential evaluation services with admission standards and an enforced code of good practice. Association of International Credentials Evaluators (AICE) is an association of 10 credential evaluation services with a board of advisors and an enforced code of ethics. Other Information 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. SEC COMPENSATION PROGRAM: The overall salary range listed above is provided for informational purposes; a selectee's initial pay will be established below the maximum rate of the range. The pay for current SEC employees will be determined according to the procedures specified in the agency's policy. Please click here for a compensation overview. Disability Employment: For information on disability appointments, click here. Reasonable Accommodation: If you are an applicant who needs a reasonable accommodation to participate in the SEC application process due to a medical disability, please contact reasonableaccommodation@sec.gov. For religious-based accommodations, please contact religiousaccommodation@sec.gov . Please be sure to submit your request at least 5 business days in advance of the date you need the requested accommodation. Equal Employment Opportunity (EEO) Information for SEC Job Applicants: For more information, please click here. The Fair Chance Act prohibits specific inquiries concerning an applicant's criminal or credit background unless the hiring agency has made a conditional offer of employment to the applicant. An applicant may submit a complaint, or any other information, to the agency within 30 calendar days of the date of alleged non-compliance by contacting the Legal and Policy Office in the Office of Human Resources at ElliottT@sec.gov. Required Documents

You must provide a complete Application Package, which includes:

• Required: Your responses to the Questionnaire.
• Required: Resume - Resumes should include relevant work experience, with specific employment dates, that demonstrates qualifications for the specialized experience and competencies as outlined above. If your resume does not reflect demonstrated evidence of these qualifications, you may not receive consideration for the position. Resumes that exceed two pages will be deemed ineligible and receive no further consideration. For resume writing tips, visit USAJOBS and the SEC careers page.
• Required, if applicable: Veteran's documentation (DD-214, member 4 copy or other documentation containing dates of service and character of discharge.)
• Required: Unofficial Transcripts - If education is a required qualification for this position, you must submit unofficial transcripts with your application demonstrating that you meet the specified degree (i.e. degree conferred) and/or coursework requirements. Failure to provide transcripts showing completion of all required degree and coursework requirements may result in a determination that you are ineligible for further consideration. If you are selected for the position, you will need to provide an official transcript along with your certificate of good standing, and/or a copy of your bar membership.

How to Apply

To apply for this position, you must complete the online application and submit the documentation specified in the Required Documents section below.

A complete application package must be submitted by 11:59 PM (EST) on the closing date of the announcement to receive consideration. No additional documentation will be accepted after the closing date of the announcement.

• To begin, click Apply to access the online application. You will need to be logged into your USAJOBS account to apply. If you do not have a USAJOBS account, you will need to create one before beginning the application.
• Follow the prompts to select your resume and/or other supporting documents to be included with your application package. You will have the opportunity to upload additional documents to include in your application before it is submitted. Your uploaded documents may take several hours to clear the virus scan process.
• After acknowledging you have reviewed your application package, complete the Include Personal Information section as you deem appropriate and click to continue with the application process.
• You will be taken to the online application which you must complete in order to apply for the position. Complete the online application, verify the required documentation is included with your application package, and submit the application.

To verify the status of your application, log into your USAJOBS account (https://my.usajobs.gov/Account/Login), all of your applications will appear on the Welcome screen. The Application Status will appear along with the date your application was last updated. For information on what each Application Status means, visit: https://www.usajobs.gov/Help/how-to/application/status/.