As stated in the Exchange Act, the SEC Ombuds must resolve investor complaints and questions about the SEC and SROs subject to SEC oversight. The Ombuds must regularly communicate with members of the public, the Commission, and SROs about sensitive issues, and must also report to Congress semiannually on the effectiveness of the office. The ideal candidate should possess strong interpersonal skills, emotional intelligence, and have a demonstrated history of promoting investor protection.

Duties

At the Securities and Exchange Commission (SEC), we are committed to diversity, equity, inclusion and accessibility (DEIA) and value a workforce that reflects the diverse experiences and perspectives of the communities we serve. As such, we welcome applications from qualified individuals of all backgrounds who share our commitment to public service. Submit semi-annual reports to the Investor Advocate, for inclusion in reports to Congress, which describe the activities and evaluate the effectiveness of the Ombuds. Investigate and resolve complaints made by retail investors and other individuals against the Commission, SEC staff, self-regulatory organizations, other government agencies, and public officials. Conduct independent reviews of complaints to determine whether SEC or SRO action was in accordance with relevant laws, rules, and policies, and whether the laws, rules, and policies were applied reasonably and fairly. Serve as a liaison between the Commission and any retail investor in resolving problems that retail investors may encounter with the SEC or self-regulatory organizations (SROs). Review and make recommendations regarding policies and procedures to encourage persons to present questions to the Investor Advocate regarding compliance with the securities laws. Establish systems and safeguards to process complaints and maintain the confidentiality of communications between retail investors and the Ombuds. Providing leadership to the organization staff in improving the processes and procedures that enhances the effectiveness efficiency, and productivity of the program

Requirements

• CITIZENSHIP: You must be a US Citizen.
• You must possess a J.D. or LL.B Degree and You must be an active member of the bar in good standing.
• This position is open to current permanent employees.
• Application procedures are specific to this vacancy announcement. Please read all the instructions carefully. Failure to follow the instructions may result in you not being considered for this position.
• Supplementary vacancies may be filled in addition to the number stated in this announcement.
• This position has promotion potential to the SK-17.
• Consistent with 5 U.S.C. § 7511, you will be required to serve a two-year trial period (one year for preference eligible veterans) if the position to which you have applied is not the same or similar to your current position of record.
• SECURITY CLEARANCE: Entrance on duty is contingent upon completion of a pre-employment security investigation. Favorable results on a Background Investigation may be a condition of employment or selection to another position.
• DRUG TESTING: This position may be subjected to drug testing requirements.
• PERMANENT CHANGE OF STATION (PCS): Moving/Relocation expenses are not authorized.
• DIRECT DEPOSIT: All Federal employees are required to have Federal salary payments made by direct deposit to a financial institution of their choosing.
• This position is not in the collective bargaining unit NTEU Chapter 293.
• This is a temporary promotion not-to-exceed one year from the date of appointment to the position. The temporary promotion may be extended up to an additional one year, for a total of two years from the date of initial appointment.
• This appointment may be extended OR it may end at any time during the course of the appointment at the discretion of management. Applicants should also be available for possible extension, if needed.
• This temporary competitive promotion may lead to a permanent promotion without further competition.
• If selected, you may receive a salary increase for the duration of the temporary promotion. You will be returned to your original salary at the end of the appointment.
• If selected, you will accrue 8 hours of annual leave per pay period for the duration of the temporary promotion. You will be returned to your original annual leave accrual at the end of the appointment.
• This position is eligible to request telework in accordance with the SEC 's telework policy.
• Existing Participants in the SEC’s Remote Telework Program are eligible to apply for this position. If selected, management will evaluate and communicate whether the position will allow for continued participation in Remote Telework.

Qualifications

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. SK-17: Applicant must have one year of specialized experience equivalent to the GS/SK-14 level. Specialized experience includes: 1. Explaining the application of laws, policies, procedures, or regulations that govern the securities industry to a wide range of persons with varying levels of expertise; and 2. Providing guidance and expertise in the evaluation of securities law issues, analyzing the factual and legal issues involved to develop statutory, regulatory, or policy recommendations; and 3. Investigating complaints made by individuals against government agencies or public officials; and 4. Analyzing legal, regulatory, or policy issues to determine appropriate options to address and resolve inquiries from investors, securities market participants, or others

Education

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

Contacts

• Address Office of Investor Advocate 100 F Street NE Washington, DC 20549 US
• Name: ask HR
• Email: [email protected]