This position is located in the San Francisco Regional Office, Office of the Associate Regional Director (Enforcement) in San Francisco, CA.
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.
This job announcement is open to the public.
The Enforcement Associate Regional Director, under the general direction of the Regional Director plans and establishes policy for the enforcement program of the San Francisco Regional Office (SFRO), and directs, coordinates, and evaluates the performance of Enforcement staff operations.
Typical duties include:
Participating with applicable headquarters divisions and offices to plan and evaluate the overall Regional Office Enforcement program.
Managing investigations and litigation of alleged violations of the federal securities laws within the SFRO jurisdiction.
Identifying and evaluating securities practices, their significance under the laws and regulations administered by the Commission, and determining appropriate procedures or remedies to be applied.
Managing resources, overseeing investigation strategies, approving prospective recommendations to the Commission, reviewing Commission memoranda and court pleadings, and training staff attorneys.
Managing and participating in 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 that includes 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 on matters under the jurisdiction of the regional office.
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.
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.
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 have 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 of specialized experience:
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.
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 and such education has been deemed equivalent to that gained in an accredited U.S. education program; or full credit has been given for the courses at a U.S. accredited college or university. For further information, visit: http://www.ed.gov/about/offices/list/ous/international/usnei/us/edlite-visitus-forrecog.html
Official Transcripts will be required at the time of appointment to verify educational eligibility.
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.