SENIOR OFFICER-ASSOCIATE REGIONAL DIRECTOR

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 have at least four years of post J.D. work experience identifying legal issues, providing legal analyses, providing legal solutions/recommendations, and preparing legal documents, such as contracts, dispositions, pleadings, and motions, which also includes at least three years of specialized experience: Interpreting and applying the provisions of the Securities Act of 1933 and the Securities Exchange Act of 1934, the Investment Company Act of 1940 and the Investment Advisers Act of 1940; Providing guidance and evaluation on policy issues related to the federal securities laws; investigating possible violations of federal securities laws and regulations; Examining or investigating broker dealers, municipal securities dealers, municipal advisers, transfer agents, exchanges, investment advisers or investment companies; and Managing a team or group that conducts examinations, audits, or investigations of financial or securities firms.
The Senior Officer-Associate Regional Director position is in the Chicago Regional Office-Division of Examinations, located in Chicago, IL. This position is open to current SEC employees only.