The Regional Director position is in the New York Regional Office located in New York, NY and is open to the public.
Duties
The Regional Director is responsible for the day-to-day oversight and administration of examination, investigation and litigation activities in the New York 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 Division of 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.
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.
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 possess at least four years post-J.D experience identifying legal issues, providing legal analyses, providing legal solutions/recommendations, and preparing legal documents, which also includes at least three years of specialized experience:
1. Applying knowledge and experience in 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.
The SEC is a bipartisan Commission consisting of up to five Commissioners appointed by the President and confirmed by the Senate. The President designates one Commissioner to serve as Chairman of the Commission. The SEC’s mission is to protect investors; maintain fair, orderly, and efficient markets; and facilitate capital formation. Accordingly, as outlined in the SEC’s Strategic Plan, the SEC’s goals are to focus on the long-term interests of our Main Street investors; recognize significant developments and trends in our evolving capital markets and adjust our efforts to ensure we are effectively allocating our resources; and elevate the agency’s performance by enhancing our analytical capabilities and human capital development. The SEC oversees the nation’s securities markets and certain market participants, including broker-dealers, investment companies, investment advisers, clearing agencies, transfer agents, credit rating agencies, and securities exchanges, as well as organizations such as the Financial Industry Regulatory Authority, Municipal Securities Rulemaking Board, and the Public Company Accounting Oversight Board. The agency’s functional responsibilities are carried o...ut through five divisions and 25 offices, each of which is headquartered in Washington, DC. The SEC also has 11 regional offices located throughout the country.
The SEC is considered a mid-sized federal agency, with 4,350 employees at the start of FY20. The SEC offers a competitive compensation and benefits package. In additional to standard federal benefits (i.e., escalating annual and sick leave, shared premiums for health, dental, vision, and life Insurance), we offer additional benefits related to child and elder care support, student loan repayment, generous retirement matching, transportation subsidy and many more benefits to support employee growth and development in our workforce.