Job Summary

The Division of Trading and Markets is seeking applicants for the Senior Officer-Associate Director position within the Office of Broker-Dealer Finances (OBDF). This position is located in Washington, DC and is open to US Citizens.

Job Description

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. 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. SO-01: The applicant must have at least four years post-J.D experience in addressing and providing guidance and expertise in the evaluation of legal and policy securities law issues that govern the securities industry, in particular, the Securities Exchange Act of 1934, which also includes at least three years of specialized experience: Advising clients on the Securities Exchange Act of 1934 compliance matters, particularly with respect to self-regulatory organizations broker-dealers, derivatives, including security-based swaps markets; AND Demonstrated ability to evaluate and interpret complex financial products and structures, and to analyze novel or multifaceted regulatory issues to ensure the legal adequacy, accuracy, and sufficiency of disclosures and related obligations. ACCOMPLISHMENT RECORD COMPETENCIES: Your Accomplishment Record narratives should address the following competencies. See the How You Will Be Evaluated section below for more information: Leading the Organization: Building and support the organization's vision, create strategies to achieve the vision, support and lead innovative and creative initiatives to meet organizational goals. Leading and Developing People: Ability to recruit, lead, develop and manage the workforce, constructively manages differences and potential conflicts between employees, building teams that meet and exceed SEC's mission, strategic plan, and goals. Results Orientation: Ability to meet organizational goals by effectively managing program area, identifying and solving important problems, making sound and timely decisions, and effectively managing and sharing information. Building Coalitions: Ability to build coalitions by partnering with others to build strategic relationships, influencing and negotiating with those in sphere of influence to achieve favorable outcomes for SEC. Legal and Regulatory Analysis: Conducts analysis and prepares documents and reports in compliance with Federal law that governs the rulemaking process. Rule Development: Prepares recommendations for rules that meet desired policy objectives within the agency's statutory authority or that implement legislation. Market Risk Analysis: Advises on operational risks and practices requiring an understanding of the marketplace landscape to inform and support policy development.