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Summary The Division of Corporation Finance is seeking to fill the position of the Senior Officer-Associate Director (Legal & Regulatory Policy). This position is located in Washington, DC and is open to current SEC employees in the Division of Corporation Finance. Responsibilities The Legal and Regulatory Policy (LRP) Associate Director position is in the Division of Corporation Finance located in Washington, DC. In addition to serving as a member of the Division's Senior Staff and leading the Division to meet its strategic priorities, the Legal Regulatory Policy (LRP) office within CF develops recommendations for adding, eliminating, or modifying Commission rules, and serves as a subject matter expert on the procedures and administrative law and technical requirements that apply to Commission rulemaking. The office also provides interpretive assistance to companies with respect to SEC rules and forms. Typical duties include: Establishing review goals and assisting the Deputy Director, Legal & Regulatory Policy, with the administration of the Commission rulemaking, specified goals and objectives. Maintaining policies, procedures, and resources to reflect current priorities; developing new policies and procedures in response to emerging trends, changing priorities, and new legislation in rulemaking. Managing new or revised rules and forms to satisfy the objectives of a particular rulemaking project using precise language, applying plain English principles, and following established timeframes. Advising on transactions and interpretive questions arising under the Securities Act of 1933; the registration, reporting, proxy and other disclosure and fraud provisions of the Securities Exchange Act of 1934; the Sarbanes-Oxley Act of 2002; the Dodd-Frank Wall Street Reform and Consumer Protection Act; and the rules and regulations promulgated under the foregoing statutes; assuring compliance with the requirements of the forms and procedures administered by the Division. Supervising the maintenance of an informational and legal interpretative program in assigned offices to assist and advise registrants, prospective registrants, accounting firms, legal firms, financial firms, investment firms, and the public with respect to the registration, reporting, and other disclosure requirements of the statutes and rules administered by the Division. Providing guidance and leadership to direct reports, including assigned Office Chiefs, and collaborating with other Division offices to enhance the effectiveness of rulemaking policies and procedures. Perform administrative and human resource management functions relative to supervised staff, including plans, schedules, and assigning work; establish guidelines and performance expectations for staff; provide feedback; periodically evaluate employee performance; oversee staff training and development; manage time and attendance. Requirements Conditions of Employment Qualifications 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 four year(s) of post J.D. work experience as a practicing attorney, three years of which includes the following: Interpreting and providing guidance on securities regulatory matters rulemaking. Providing legal advice regarding the general application of the Securities Act of 1933, Exchange Act of 1934, and other federal securities laws and recommending the resolution of disclosure reporting issues; and Providing guidance and evaluation of rulemaking initiatives and overarching policy issues related to the federal securities laws. 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 Official Transcripts will be required at the time of appointment to verify educational eligibility. Additional Information 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, religion, sex, pregnancy, national origin, political affiliation, sexual orientation, marital status, disability, genetic information, age, membership in an employee organization, retaliation, parental status, military service or other non-merit factor. 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 [email protected].