Career Center

Agency: U.S. Securities and Exchange Commission

Position: Senior Officer-Regional Director [Attorney], SO-0905-01

Promotion Potential: SO-02

Open & Close Dates: 06/30/2023 to 07/14/2023

Salary: $190,564 - $289,273 per year

Location: Los Angeles, CA

Vacancies: One (1)

Job Link: https://www.usajobs.gov/job/734980000

Summary:

This Regional Director position is in the Los Angeles Regional Office, located in Los Angeles, CA, and is open to all US Citizens.

Conditions of Employment:

• This position is open to U.S. Citizens.
• You must possess a J.D. or LL.B Degree.
• You must be an active member of the bar in good standing.

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.
• Refer to the announcement on www.USAJOBS.gov for additional duties.

Qualifications

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:

SO-01: In addition to the Basic Requirement, the applicant must have at least four years of post J.D. work 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.

*** The SEC offers enhanced pay and benefits plus the standard Federal benefits. Apply today! ***

About U.S. Securities and Exchange Commission

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.

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