The Senior Officer-National Unit Chief, Complex Financial Instruments Unit position is in the Division of Enforcement located in New York, NY or Washington, DC. This position is open to any current SEC employee in the Division of Enforcement only.

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. The Division of Enforcement investigates possible violations of securities laws, recommends Commission action when appropriate, either in federal court or before an administrative law judge, and negotiates settlements. The Division of Enforcement's Complex Financial Instruments (CFI) Unit operates on a nationwide basis, exercises the full range of the Division's investigative and law enforcement powers and focuses on suspected violations of the federal securities laws involving complex derivatives (credit default swaps, collateralized debt and loan obligations, etc.), securitized and structured products, complex retail products, fixed income and credit products and other emerging or newly-developed products, techniques, and trading strategies as they are recognized now and identified in the future. The Unit is comprised of Enforcement staff from Washington, DC as well as the SEC's regional offices. The principal functions of the Unit include developing and maintaining significant specialized knowledge and expertise in the identification and investigation of potential violations involving complex financial instruments and/or market practices. By focusing on the full range of potential violations in the markets for complex products, CFI's mandate extends to a broad range of market participants - including broker-dealers, investment advisers, corporate issuers, entities involved in securitizations and fintech companies - and to a diverse array of potential violations arising from the creation, sale, usage and valuation of complex products. Typical duties include: Leading the Unit and providing overall strategic direction and management oversight of the Unit. The incumbent, in consultation with the Office of the Director of Enforcement, exercises delegated decision-making authority with respect to all operations and functions of the Unit. Developing, conceiving, planning, and implementing policies and guidelines affecting broad, emerging, and/or critical Commission programs, including in coordination with other Divisions, Units, and Offices-particularly the Trial Unit, the Office of General Counsel, and the Divisions of Corporation Finance and Trading and Markets-to ensure that the Commission's work in the crypto and cyber spaces is holistic, comprehensive, and consistent. Serving as a primary Commission advisor on various programs and events. Counseling senior management staff and officials at multiple levels of the Commission; senior staff of other Federal, state, and local government agencies; and private sector clients and vendors on Commission matters. Advising on the appropriate methods and techniques to achieve program goals and objectives. Serving on inter-Commission, national, and/or international special working groups, task forces, or expert panels on special projects or studies critical to the resolution of far-reaching operating issues and problems, including updating the Unit's talking points and outward facing messages. Establishing and clearly communicating performance expectations for staff members; providing informal feedback and periodically evaluating staff on organizational performance; organizing and supervising Unit meetings, working groups, and other events; resolving informal complaints and grievances; taking personnel actions as necessary; providing advice and counseling to staff members and subordinate Division managers related to work and policy matters; effecting disciplinary measures; reviewing and approving or disapproving leave requests; assuring that staff members are optimally trained.

Requirements

• 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.
• 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 SO-02.
• TRIAL PERIOD: This appointment may require completion of a two year supervisory/managerial trial period.
• 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.
• For consideration at the SO-2 level, you must currently hold a SO-2 position within the SEC.
• This position is eligible to request telework in accordance with the SEC 's telework policy.
• 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.
• This position is open to any current SEC employee in the Division of Enforcement.

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. SO-01: Applicant must possess at least four years of post J.D. work experience identifying legal issues, conducting legal research, providing legal analyses, providing legal solutions/recommendations, and preparing legal documents, such as legal opinions, briefs, memoranda, correspondence, or motions, which also includes at least three years of specialized experience: Interpreting Federal securities laws, and Conducting securities investigations, and enforcement activities under the Federal Securities Acts relating to the anti-fraud, anti-manipulative, and other provisions of the Acts.

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

Official Transcripts will be required at the time of appointment to verify educational eligibility.

Contacts

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