The Division of Enforcement’s Office of Whistleblower is seeking to fill an Associate Director position located in Washington, D.C. 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 Dodd-Frank Wall Street Reform and Consumer Protection Act established the Office of Whistleblower, which is designed to incentivize individuals to come forward with timely, credible and specific information regarding possible securities violations.

The Chief, Office of Whistleblower under the general direction of the Director of Enforcement plans and establishes policy for the whistleblower program, and directs, coordinates, controls, and evaluates the performance of Office of Whistleblower staff operations.

Typical Duties Include:

  • Managing all aspects of the whistleblower program to include submissions tracking and award recommendations.
  • Supervising the activities of Office of Whistleblower staff members who provide expert and legal advice on whistleblower related matters, and are responsible for the creation and implementation of policies and procedures involving the whistleblower program.
  • Managing resources, overseeing whistleblower strategies, approving prospective recommendations, and overseeing training of the Office of Whistleblower staff attorneys.
  • Supervising and participating in the process to assess whistleblower award claims and making recommendations to the Commission regarding claimant eligibility and appropriate percentage for an award to eligible claimants.
  • 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.
  • 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.
  • Representing the Commission in Congressional hearings regarding the whistleblower program; dealings with the public; and the news media.


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 a mandatory telework posture through June 25, 2021. If selected, you will be permitted to temporarily telework from a location outside the local commuting area.
  • Once employees are permitted to return to the office, you will be expected to report to the duty station listed on this announcement within 60 days. At that time, you will be eligible to request telework in accordance with the SEC ‘s telework policy.


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 possess at least four years post J.D experience identifying legal issues, providing legal analyses, providing legal solutions/recommendations, and preparing legal documents, such as contracts, dispositions, pleadings, and motions, which also includes at least three years:

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

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