Senior Officer-Associate Director

Securities and Exchange Commission; Fort Worth (TX); On-site; USD 110,000 - 150,000; Full time

Job summary

The Securities and Exchange Commission seeks a qualified examiner to conduct examinations of broker-dealers, transfer agents, investment companies, and investment advisers under its oversight. The role requires careful legal analysis, sound judgment, and strong communication skills to support enforcement and regulatory objectives.

Applicants must have a J.D. or LL.B., active bar membership in good standing, and at least four years of post J.D.

Qualifications

• J.D. or LL.B. degree is required.
• Active membership of the bar in good standing is required.
• Four years post J.D. work experience with at least three years of specialized experience.

Responsibilities

• Conduct examinations of broker-dealers, transfer agents, investment companies, investment advisers and self-regulatory organizations.
• Assess compliance, activities and risks of registered securities firms; provide information to enforcement staff.

Skills

Leading the Organization

Leading and Developing People

Results Orientation

Building Coalitions

Analysis and Risk Assessment

Examwork

Critical Thinking

Education

J.D. or LL.B. degree

Active bar membership in good standing (US state/DC/PR)

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: Applicant must have at least four years of post J.D. work experience identifying legal issues, providing legal analyses, recommendations, and preparing complex legal documents, which also includes at least three years of specialized experience:
  1. Conducting examinations of broker-dealers, transfer agents, investment companies, investment advisers and self-regulatory organizations;
  2. Assessing the compliance, activities and risks of registered securities firms;
  3. Providing assistance and information to securities firms and to investors;
  4. Managing a team or group that conducts examinations or audits of financial or securities firms; and
  5. Providing information and/or assistance to enforcement staff with respect to possible violations of federal securities laws and regulations.

ACCOMPLISHMENT RECORD COMPETENCIES:

1. Leading the Organization: Building and supporting the organization's vision, creating strategies to achieve the vision, supporting and leading innovative and creative initiatives to meet organizational goals.
2. 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.
3. 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.
4. 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.
5. Analysis and Risk Assessment: Analyzes information to assess an entity's level of risk for deficiencies in various focus areas.
6. Examwork: Effectively conducts examwork activities (whether onsite, correspondence, etc.) in a professional manner to procure information from an entity under examination.
7. Critical Thinking: Considers a variety of factors, general and subject matter-specific, when making decisions and determining next steps in a case.