Summary

This is a Senior Officer position located in Chicago, IL. This is a term position not-to-exceed three years and may be extended for one additional year without further competition.

Responsibilities

The Regional Director is responsible for the day-to-day oversight and administration of examination, investigation and litigation activities in the Chicago 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 Office of Compliance Inspections and 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.

Requirements

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 may be 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 September 7, 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.
  • Term – Not-to-exceed 3 years and may be extended for 1 additional year without further competition

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 (Note: Official Transcript will be required before entry on duty.) –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 four year(s) of post J.D. work experience as a practicing attorney, three years of which includes: applying knowledge and experience in interpreting Federal securities laws and conducting investigations and enforcement activities under the Federal securities Acts relating to the anti-fraud, anti-manipulative, and other provisions of the Acts.

Requirements

  • 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.

For more information please visit: https://www.usajobs.gov/GetJob/ViewDetails/600824100?utm_medium=email&utm_source=govdelivery 

To apply for this job please visit www.usajobs.gov.

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