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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.
Learn more about this agency12/11/2024 to 12/27/2024
$200,988 - $305,096 per year
SO 1
1 vacancy in the following locations:
No
Yes—as determined by the agency policy.
Occasional travel - You may be expected to travel for this position.
No
Permanent
Full-time
Excepted
2
Yes
No
25-IN-12637657-TMP
823320000
This position is open to any current SEC employee.
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:
MINIMUM QUALIFICATION REQUIREMENT: In addition to meeting the basic requirement, applicants must also meet the minimum qualification requirement.
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.
SEC COMPENSATION PROGRAM: The overall salary range listed above is provided for informational purposes as it represents the full range that is applicable to current employees in this occupation/grade; however, a selectee's initial pay is always set below the maximum rate of the range. Please click here for additional information.
Disability Employment: For information on disability appointments, please visit http://www.opm.gov/policy-data-oversight/disability-employment/
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.
The Fair Chance Act prohibits specific inquiries concerning an applicant's criminal or credit background unless the hiring agency has made a conditional offer of employment to the applicant. An applicant may submit a complaint, or any other information, to the agency within 30 calendar days of the date of alleged non-compliance by contacting the Legal and Policy Office in the Office of Human Resources at ElliottT@sec.gov.
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 may provide narrative responses (500 words or less per question) addressing the executive (core) and technical qualifications. After the announcement closing date, you will receive an email asking you to respond to the core and technical qualifications. You must provide your responses within the established deadline.
Based on the information provided, a rating panel will rate/rank candidates and place them in the following quality category groupings:
You must provide a complete Application Package, which includes:
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.
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.
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.).
The Federal hiring process is set up to be fair and transparent. Please read the following guidance.
This job originated on www.usajobs.gov. For the full announcement and to apply, visit www.usajobs.gov/job/823320000. Only resumes submitted according to the instructions on the job announcement listed at www.usajobs.gov will be considered.
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