Securities and Exchange Commission
Assistant Director
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Summary
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. Qualifying education must have been obtained from an accredited college or university recognized by the U.S. Department of Education. 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. SK-17: Applicant must have at least one year of specialized experience equivalent to the GS/SK-14 level. Specialized experience includes: Interpreting, applying, and explaining the provisions of the laws, rules, and regulations that govern the securities industry, in particular, the Securities Exchange Act of 1934; AND Providing legal advice on matters pertaining to clearing agencies that serve as central counterparties for options, security-based swaps, and other derivatives markets; Derivatives Clearing Organizations regulated by the Commodity Futures Trading Commission (CFTC); or other payment, clearing, and settlement systems; AND Explaining the application of legal principles and precedents to develop and justify recommendations or conclusions regarding clearing and settlement operations. ACCOMPLISHMENT RECORD COMPETENCIES: Your Accomplishment Record narratives should address the following competencies. See the How You Will Be Evaluated section below for more information: Competency 1: Rule Development - Prepares recommendations for rules that meet desired policy objectives within the Commission's statutory authority or that implement legislation. Competency 2: Critical Thinking - Considers a variety of factors, general and subject matter-specific, when making decisions and determining next steps in a case. Competency 3: Legal and Regulatory Analysis - Conducts analysis and prepares documents and reports in compliance with Federal law that governs the rulemaking process. Competency 4: Workload Management - Effectively prioritizes workload in a way that accommodates unforeseen developments and achieves successful outcomes.
Major Duties
In this role as an Assistant Director, you will be responsible for: Reviewing and analyzing notices for public comment and, as applicable, drafts orders related to SRO proposed rule change filings by clearing agencies that serve as central counterparties for options, security-based swaps, and other derivatives markets. Assisting with developing, planning, and implementing the Commission's policies designed to promote, and manages the Office's role in the coordination of, the Commission's clearance and settlement program for options, security-based swaps, and other derivatives markets, which includes other offices within the Division, the Division of Economic and Risk Analysis, the Office of Compliance Inspections and Examinations, and the Office of International Affairs. Rendering legal advice and interpretations concerning the provisions of the Securities Exchange Act of 1934 and rules thereunder dealing with clearance and settlement. Serves as an expert advisor on various programs and events involving the clearance and settlement of options, security-based swaps, and other derivatives. Assisting the Associate Director with policy and supervisory determinations on matters relating to the Office's responsibilities, and presenting to the Associate Director, the Deputy Director, the Director and the Commission recommendations relating to these policy and supervisory determinations. Representing the Office in presentations and discussions with Commissioners and their counsel; in communications, negotiations, working groups, and committees involving other federal financial regulators and international regulatory agencies and organizations; and in presentations and discussions with market participants and the public.
Required Documents
You must provide a complete Application Package, which includes: Required: Your responses to the Questionnaire. Required: Resume - Resumes should include relevant work experience, with specific employment dates, that demonstrates qualifications for the specialized experience and competencies as outlined above. If your resume does not reflect demonstrated evidence of these qualifications, you may not receive consideration for the position. Resumes that exceed two pages will be deemed ineligible and receive no further consideration. For resume writing tips, visit USAJOBS and the SEC careers page. SEC EMPLOYEES: OHR will verify your eligibility via the SEC's personnel database.
How to Apply
To apply for this position, you must complete the online application and submit the documentation specified in the Required Documents. A complete application package must be submitted by 11:59 PM (EST) on the closing date of the announcement to receive consideration. No additional documentation will be accepted after the closing date of the announcement. 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 resume 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/.