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Assistant Director

SEC.gov | Pathways: Internship Program

New York, NY

$171K/yr

Full-time

Posted 4 days ago

Job description

The Division of Examinations (EXAMS), Office of the Chief Counsel is seeking a Supervisory Attorney Adviser (Assistant Director), SK-0905-17 and will be located in one of the listed locations.

As an Assistant Director for the Office of Compliance within EXAMS' Office of Chief Counsel, you will lead a team responsible for carrying out the duties of Compliance for the Division of Examinations.

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. Qualifying education must have been obtained from an accredited college or university recognized by the U.S. Department of Education. 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.
SK-17: Applicant must have one year of specialized experience equivalent to the GS/SK-14 level. Specialized experience includes:

  1. Providing legal advice on federal securities laws and compliance issues as they relate to securities-related financial institutions, such as broker-dealers, clearing agencies, transfer agents, municipal advisers, investment advisers, investment companies, security-based swap dealers, private funds or self-regulatory organizations; AND
  2. Briefing and facilitating discussions with management on policy and/or operational risk issues to develop policy; AND
  3. Developing internal policies and procedures for a financial regulatory organization or a securities-related financial institution (e.g., registered broker-dealer, investment adviser, registered investment company, registered self-regulatory organization); AND
  4. Supporting and working with an internal compliance program or internal supervisory control program of a financial regulatory organization or securities-related financial institution.

ACCOMPLISHMENT RECORD COMPETENCIES: Your Accomplishment Record narratives should address the following competencies. See the How You Will Be Evaluated section below for more information:
Competency 1: Critical Thinking: Considers a variety of factors, general and subject matter-specific, when making decisions and determining next steps in a case.


Competency 2: Strategic Execution: Understand and implement SEC's and Division/Office's policies and goals, with regard to personnel or programs in their purview anticipating, identifying, and addressing the impact of internal and external environmental factors, linking them to capabilities and potential of the organization.


Competency 3: Information Gathering: Ability to gather and process large amounts of information and make connections to understand possible deficiencies.


Competency 4: Teamwork and Collaboration: Interacts with internal and external others in a manner that advances examinations and SEC goals and objectives.

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.Employment Type: OTHER

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