The Senior Officer-Associate Director position is in the Office of International Affairs located in Washington, DC and is open to US citizens.
The Associate Director is responsible for overall management of OIA's international enforcement cooperation efforts in connection with SEC investigations and litigated actions, as well as with foreign assistance matters; providing guidance to the Chair, the Commissioners, and other Senior Officers in the SEC's offices and divisions on issues that are uniquely cross border enforcement cooperation related in nature; senior level representational functions related to cross-border enforcement cooperation matters and policy; long term strategic planning in terms of allocation of resources, systems, organization, and programmatic focus and priorities; and development and implementation of consistent and effective international enforcement policies and procedures.
Typical duties include:
Managing OIA's enforcement cooperation and policy program;
Assisting the Division of Enforcement with investigations and enforcement proceedings with international aspects, including cases where alleged perpetrators, evidence, or the proceeds of fraud are located abroad;
Providing assistance to foreign authorities in connection with certain investigations and litigation matters;
Providing strategic guidance to advance the Commission's policy objectives for international cooperation, including promoting best practices with respect to cross-border enforcement information sharing;
Advancing initiatives and allocating resources to address fraud falling within the agency's enforcement priorities;
Advocating for the SEC's interests in international forums like IOSCO and the OECD Working Group on Bribery with respect to significant policy issues (e.g., bribery and corruption); and
Interfacing with senior officials at other U.S. government agencies, such as DOJ, Treasury/FinCEN, Department of State, and the Department of Homeland Security, on international enforcement matters and policy issues.
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, which also includes at least three years of specialized experience:
(1) Interpreting federal securities laws and/or conducting securities investigations and enforcement activities under the Federal Securities Acts; (2) Providing legal advice and responding to questions related to the Securities Exchange Act of 1934; (3) Researching and providing legal interpretation of statutes and implementing regulations; and (4) Developing and preparing guidance on a variety of legal issues arising from interpretation and application of statutes.
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.