This job originated on www.usajobs.gov. For the full announcement and to apply, visit www.usajobs.gov/job/519770200. Only resumes submitted according to the instructions on the job announcement listed at www.usajobs.gov will be considered.
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Summary
This position is in the Denver Regional Office, Office of the Associate Regional Director (Enforcement) located in Denver,CO.
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.
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Overview
- Hiring complete
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Open & closing dates
12/17/2018 to 02/01/2019
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Salary
$188,050 - $249,272 per year
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Pay scale & grade
SO 1
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Location
1 vacancy in the following location:
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Telework eligible
Yes—as determined by the agency policy.
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Travel Required
Occasional travel - You may be expected to travel for this position.
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Relocation expenses reimbursed
No
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Appointment type
Permanent
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Work schedule
Full-Time
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Service
Excepted
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Promotion potential
2
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Job family (Series)
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Supervisory status
Yes
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Security clearance
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Drug test
No
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Announcement number
19-IN-10379716-DMQ
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Control number
519770200
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This job is open to
Clarification from the agency
This position is open to current SEC employees only.
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Duties
The Enforcement Associate Regional Director, under the general direction of the Regional Director plans and establishes policy for the enforcement program of the Denver Regional Office (DRO), and directs, coordinates, and evaluates the performance of Enforcement staff operations.
Typical Duties Include:
- Participating with applicable headquarters divisions and offices to plan and evaluate the overall Regional Office Enforcement program.
- Managing investigations and litigation of alleged violations of the federal securities laws within the DRO jurisdiction.
- Identifying and evaluating securities practices, their significance under the laws and regulations administered by the Commission, and determining appropriate procedures or remedies to be applied.
- Managing resources, overseeing investigation strategies, approving prospective recommendations to the Commission, reviewing Commission memoranda and court pleadings, and training staff attorneys.
- Managing and participating in significant and complex investigations and litigation.
- Representing the Commission in dealings with the public and the news media.
- Performing the full range of supervisory duties that includes evaluating employee performance; making recommendations for appointment and promotion; hearing and resolving complaints; identifying development and training needs of employees; and other related supervisory tasks.
- Supervising the activities of staff members in connection with administrative proceedings before agency Administrative Law Judges, before the Commission, and in connection with actions filed in federal district court on matters under the jurisdiction of the regional office.
- Contacts and collaborates with high-ranking officials from other federal agencies and departments of government, congressional staff officials, state officials and/or executives of comparable private sector organizations.
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Requirements
Conditions of Employment
- You must possess a J.D. or LL.B Degree
- You must be an active member of the bar in good standing
- This position is open to current SEC 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 SO-02 level.
- SUPERVISORY TRIAL PERIOD: This appointment may require completion of a two-year 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.
Qualifications
All qualification requirements, including time-in-grade, 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. Additional qualifications information can be found here. 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
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. Additional qualifications information can be found here. 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 one year of specialized experience equivalent to at least the GS/SK-14 level: (1) applying knowledge and experience in interpreting Federal securities laws, and (2) 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
Additional information
Reasonable Accommodation: If you are an applicant who needs a reasonable accommodation for disability to participate in the application process at the SEC, submit the form for Reasonable Accommodation for Participation in Job Application Process here. Please be sure to submit your request at least 5 business days in advance of the date you need the requested accommodation.
Equal Employment Opportunity (EEO) Information for SEC Job Applicants: Federal EEO laws protect all applicants from discrimination on the following bases: race, color, sex (not limited to conduct which is sexual in nature, includes pregnancy, gender identity, sexual orientation, transgender status), age (40 and over), religion, national origin, disability, genetic information, retaliation for participating in the EEO process or opposing discrimination. Applicants who believe they have been discriminated against on any EEO basis can seek recourse through the SEC's administrative complaints process. To be timely, an individual must enter the EEO process within 45 days from when they know (or should have known) of the alleged discrimination. Click here for additional information.
TTY/ASCII: Video Relay Service users are welcome to contact the appropriate SEC office or employee via the contact information listed above. If you do not otherwise have access to a Video Phone or Video Relay service, you may send us an email or use the Federal Video Relay Service via the internet. For more information about using the Federal Relay Service and to create a new account, please see: http://fedvrs.us/
Benefits
A career with the U.S. government provides employees with a comprehensive benefits package. As a federal employee, you and your family will have access to a range of benefits that are designed to make your federal career very rewarding. Opens in a new windowLearn more about federal benefits.
Eligibility for benefits depends on the type of position you hold and whether your position is full-time, part-time or intermittent. Contact the hiring agency for more information on the specific benefits offered.
How You Will Be Evaluated
You will be evaluated for this job based on how well you meet the qualifications above.
Your resume and supporting documentation will be used to determine whether you meet the job qualifications listed on this announcement. If you are basically qualified for this job, your resume and supporting documentation will be compared to your responses on the Occupational Questionnaire. All applicants found to be minimally qualified will be required to provide narrative responses (500 words or less per question)regarding the executive (core) and technical qualifications. After the announcement closing date, an HR specialist will determine if you meet the minimum qualifications described in the Qualifications Section. If you do, you will receive an email asking you to respond to the core and technical qualifications listed below. You must provide your responses within the established deadline.
You will be rated on the following Competencies:
Core Qualifications:
(1) Management Experience: Experience designing and implementing strategies which maximize employee potential and foster high ethical standards in meeting the organization's vision, mission, and goals.
(2) Leading Change/Achieving Results: Experience developing and implementing an organizational vision which integrates key national and program goals, priorities, values, and other factors of that organization. Examples should include experience implementing change in his/her organization, exercising leadership and motivating managers to incorporate vision and strategic planning into the process.
(3) Building Coalitions/Communications: Experience explaining, advocating, and expressing facts and ideas (both orally and in writing) in a convincing manner. Work environment may be experience working with the press, political appointees, Congress, and other high-level organizations and staff on various types of important national issues. Experience includes working in groups and teams conducting briefings with outside groups and gaining cooperation from others to obtain information and accomplish goals.
Technical Qualifications:
(4) Knowledge and understanding of the Securities Act of 1933, the Securities Exchange Act of 1934, the Investment Company Act of 1940, and the Investment Advisers Act of 1940.
(5) Skill conducting complex investigations. Knowledge of and exposure to the operations and/or the examination of broker-dealers, transfer agents, investment advisers and investment companies.
(6) Ability to analyze complex problems and devise innovative solutions.
The Occupational Questionnaire will take you approximately 10 minutes to complete. To preview the Occupational Questionnaire, click the following link https://apply.usastaffing.gov/ViewQuestionnaire/10379716.
Benefits
A career with the U.S. government provides employees with a comprehensive benefits package. As a federal employee, you and your family will have access to a range of benefits that are designed to make your federal career very rewarding. Opens in a new windowLearn more about federal benefits.
Eligibility for benefits depends on the type of position you hold and whether your position is full-time, part-time or intermittent. Contact the hiring agency for more information on the specific benefits offered.
Required Documents
As a new or existing federal employee, you and your family may have access to a range of benefits. Your benefits depend on the type of position you have - whether you're a permanent, part-time, temporary or an intermittent employee. You may be eligible for the following benefits, however, check with your agency to make sure you're eligible under their policies.
You must provide a complete Application Package, which includes:
- Required: Your responses to the Occupational Questionnaire.
- Required: Your complete and comprehensive resume that includes a complete history of your work experience and the applicable employment dates with months and years. To determine if you qualify for this position, OHR will review your work history that is relevant to the specific position for which you applied. If you are selected for this position, OHR will review your complete work history to establish your starting salary.Note: Your resume must directly address the definition of specialized experience listed in the qualification section of this announcement and must NOT contain pictures.
If you are relying on your education to meet qualification requirements:
Education must be accredited by an accrediting institution recognized by the U.S. Department of Education in order for it to be credited towards qualifications. Therefore, provide only the attendance and/or degrees from schools accredited by accrediting institutions recognized by the U.S. Department of Education.
Failure to provide all of the required information as stated in this vacancy announcement may result in an ineligible rating or may affect the overall rating.
How to Apply
To apply for this position, you must complete the online application and submit the documentation specified in the Required Documents section below.
A complete application package must be submitted by 11:59 PM (EST) on the closing date of the announcement to receive consideration.
- To begin, click Apply to access the online application. You will need to be logged into your USAJOBS account to apply. If you do not have a USAJOBS account, you will need to create one before beginning the application.
- Follow the prompts to select your résumé and/or other supporting documents to be included with your application package. You will have the opportunity to upload additional documents to include in your application before it is submitted. Your uploaded documents may take several hours to clear the virus scan process.
- After acknowledging you have reviewed your application package, complete the Include Personal Information section as you deem appropriate and click to continue with the application process.
- You will be taken to the online application which you must complete in order to apply for the position. Complete the online application, verify the required documentation is included with your application package, and submit the application.
To verify the status of your application, log into your USAJOBS account (https://my.usajobs.gov/Account/Login), all of your applications will appear on the Welcome screen. The Application Status will appear along with the date your application was last updated. For information on what each Application Status means, visit: https://www.usajobs.gov/Help/how-to/application/status/.
If you are unable to apply online or need to fax a document you do not have in electronic form, view the following link for information regarding an Alternate Application.
Agency contact information
Donna Quarles
- Address
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Denver Regional Office
1961 Stout St
Suite 1700
Denver, CO 80294
US
Next steps
You will be notified of your application status through USAJOBS at four points during the hiring process, as applicable. You can check the status of your application by accessing the USAJOBS website at http://usajobs.gov/ and clicking on "Track Your Online Application."
By submitting your application, you are certifying the accuracy of the information contained in your application. If you make a false statement in any part of your application, you may not be hired, you may be terminated after you begin work, or you may be fined or jailed. After making a tentative job offer, we will conduct a suitability/security background investigation. You will be required to submit official documentation before appointment. The agency will then verify the information provided on your application (i.e., degree, Veterans' Preference, certification of disability, etc.).
Fair and Transparent
The Federal hiring process is set up to be fair and transparent. Please read the following guidance.
Help
Required Documents
You must provide a complete Application Package, which includes:
- Required: Your responses to the Occupational Questionnaire.
- Required: Your complete and comprehensive resume that includes a complete history of your work experience and the applicable employment dates with months and years. To determine if you qualify for this position, OHR will review your work history that is relevant to the specific position for which you applied. If you are selected for this position, OHR will review your complete work history to establish your starting salary.Note: Your resume must directly address the definition of specialized experience listed in the qualification section of this announcement and must NOT contain pictures.
If you are relying on your education to meet qualification requirements:
Education must be accredited by an accrediting institution recognized by the U.S. Department of Education in order for it to be credited towards qualifications. Therefore, provide only the attendance and/or degrees from schools accredited by accrediting institutions recognized by the U.S. Department of Education.
Failure to provide all of the required information as stated in this vacancy announcement may result in an ineligible rating or may affect the overall rating.
Help
To verify the status of your application, log into your USAJOBS account (https://my.usajobs.gov/Account/Login), all of your applications will appear on the Welcome screen. The Application Status will appear along with the date your application was last updated. For information on what each Application Status means, visit: https://www.usajobs.gov/Help/how-to/application/status/.
If you are unable to apply online or need to fax a document you do not have in electronic form, view the following link for information regarding an Alternate Application.
Learn more about this agency
How to Apply
To apply for this position, you must complete the online application and submit the documentation specified in the Required Documents section below.
A complete application package must be submitted by 11:59 PM (EST) on the closing date of the announcement to receive consideration.
- To begin, click Apply to access the online application. You will need to be logged into your USAJOBS account to apply. If you do not have a USAJOBS account, you will need to create one before beginning the application.
- Follow the prompts to select your résumé and/or other supporting documents to be included with your application package. You will have the opportunity to upload additional documents to include in your application before it is submitted. Your uploaded documents may take several hours to clear the virus scan process.
- After acknowledging you have reviewed your application package, complete the Include Personal Information section as you deem appropriate and click to continue with the application process.
- You will be taken to the online application which you must complete in order to apply for the position. Complete the online application, verify the required documentation is included with your application package, and submit the application.
To verify the status of your application, log into your USAJOBS account (https://my.usajobs.gov/Account/Login), all of your applications will appear on the Welcome screen. The Application Status will appear along with the date your application was last updated. For information on what each Application Status means, visit: https://www.usajobs.gov/Help/how-to/application/status/.
If you are unable to apply online or need to fax a document you do not have in electronic form, view the following link for information regarding an Alternate Application.
Agency contact information
Donna Quarles
- Address
-
Denver Regional Office
1961 Stout St
Suite 1700
Denver, CO 80294
US
Next steps
You will be notified of your application status through USAJOBS at four points during the hiring process, as applicable. You can check the status of your application by accessing the USAJOBS website at http://usajobs.gov/ and clicking on "Track Your Online Application."
By submitting your application, you are certifying the accuracy of the information contained in your application. If you make a false statement in any part of your application, you may not be hired, you may be terminated after you begin work, or you may be fined or jailed. After making a tentative job offer, we will conduct a suitability/security background investigation. You will be required to submit official documentation before appointment. The agency will then verify the information provided on your application (i.e., degree, Veterans' Preference, certification of disability, etc.).
Fair & Transparent
The Federal hiring process is set up to be fair and transparent. Please read the following guidance.
Beginning of a dialog window for the agency announcing this job. It begins with a heading 2 called "Learn more about Field Operating Offices of the Office of the Secretary of the Army". Escape will cancel and close the window.
Learn more about
Securities and Exchange Commission
The U.S. Securities and Exchange Commission is looking for the best and brightest to join our team. Our mission includes advocating for investors who seek to secure a future for their family, providing guidance and regulations for the nation's securities industry in an increasingly global market, and taking action with an eye toward promoting the capital formation necessary to sustain economic growth.
A career with the Securities and Exchange Commission (SEC) offers work that is exciting, challenging and rewarding. You can contribute to securities regulation and enforcement while making a positive difference for the American investing public. The SEC provides:
- Careers that broaden and deepen your already accomplished knowledge, skills and abilities;
- An environment that allows you to work and learn with the nation's experts;
- Benefits, compensation and career expansion opportunities; and
- A balance between your professional and family life.
- Paid dental and vision insurance;
- Subsidy for health insurance, which supplements your health benefits premiums by $29.81 for self-only coverage, $55.69 for self plus one, and $59.61 for family coverage;
- Domestic Partner Health Insurance Reimbursement Program;
- Mass transportation subsidy;
- "WorkSmart" - Opportunities for flexible work schedules and expanded telework
Agency contact information
Donna Quarles
- Address
-
Denver Regional Office
1961 Stout St
Suite 1700
Denver, CO 80294
US