SENIOR OFFICER - ASSOCIATE DIRECTOR (CHIEF, OFFICE OF THE WHISTLEBLOWER)

Employer
USAJobs
Location
Washington, D.C
Posted
Apr 30, 2021
Closes
May 07, 2021
Function
Executive, Director
Hours
Full Time
Duties

Summary

The Division of Enforcement's Office of Whistleblower is seeking to fill an Associate Director position located in Washington, D.C. 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.

Learn more about this agency

Responsibilities

The Dodd-Frank Wall Street Reform and Consumer Protection Act established the Office of Whistleblower, which is designed to incentivize individuals to come forward with timely, credible and specific information regarding possible securities violations.

The Chief, Office of Whistleblower under the general direction of the Director of Enforcement plans and establishes policy for the whistleblower program, and directs, coordinates, controls, and evaluates the performance of Office of Whistleblower staff operations.

Typical Duties Include:
  • Managing all aspects of the whistleblower program to include submissions tracking and award recommendations.
  • Supervising the activities of Office of Whistleblower staff members who provide expert and legal advice on whistleblower related matters, and are responsible for the creation and implementation of policies and procedures involving the whistleblower program.
  • Managing resources, overseeing whistleblower strategies, approving prospective recommendations, and overseeing training of the Office of Whistleblower staff attorneys.
  • Supervising and participating in the process to assess whistleblower award claims and making recommendations to the Commission regarding claimant eligibility and appropriate percentage for an award to eligible claimants.
  • Performing the full range of supervisory duties, including evaluating employee performance; making recommendations for appointment and promotion; hearing and resolving complaints; identifying development and training needs of employees; and other related supervisory tasks.
  • Contacting and collaborating with high-ranking officials from other federal agencies and departments of government, congressional staff officials, state officials and/or executives of comparable private sector organizations.
  • Representing the Commission in Congressional hearings regarding the whistleblower program; dealings with the public; and the news media.


Travel Required

Occasional travel - You may be expected to travel for this position.

Supervisory status
Yes

Promotion Potential
2

Requirements

Conditions of Employment

  • You must possess a J.D. or LL.B Degree.
  • You must be an active member of the bar in good standing.
  • CITIZENSHIP: This position is open to US Citizens.
  • Application procedures are specific to this vacancy announcement. Please read all the instructions carefully. Failure to follow the instructions may result in you not being considered for this position.
  • Supplementary vacancies may be filled in addition to the number stated in this announcement.
  • This position has promotion potential to the SO-02.
  • TRIAL PERIOD: This appointment may require completion of a two year supervisory/managerial trial period.
  • SECURITY CLEARANCE: Entrance on duty is contingent upon completion of a pre-employment security investigation. Favorable results on a Background Investigation may be a condition of employment or selection to another position.
  • DRUG TESTING: This position may be subjected to drug testing requirements.
  • PERMANENT CHANGE OF STATION (PCS): Moving/Relocation expenses are not authorized.
  • DIRECT DEPOSIT: All Federal employees are required to have Federal salary payments made by direct deposit to a financial institution of their choosing.
  • This position is not in the collective bargaining unit.
  • For consideration at the SO-2 level, you must currently hold a SO-2 position within the SEC.
  • Due to COVID-19, the SEC is currently in a mandatory telework posture through June 25, 2021. If selected, you will be permitted to temporarily telework from a location outside the local commuting area.
  • Once employees are permitted to return to the office, you will be expected to report to the duty station listed on this announcement within 60 days. At that time, you will be eligible to request telework in accordance with the SEC 's telework policy.


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 possess at least four years post J.D 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:
  • Applying knowledge and experience in interpreting Federal securities laws, and;
  • Conducting securities investigations, and enforcement activities under the Federal Securities Acts relating to the anti-fraud, anti-manipulative, and other provisions of the Acts.:


  • 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

    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.

    TTY/ASCII: Video Relay Service users are welcome to contact the appropriate SEC office or employee via the contact information listed above. If you do not otherwise have access to a Video Phone or Video Relay service, you may send us an email or use the Federal Video Relay Service via the internet. For more information about using the Federal Relay Service and to create a new account, please see: https://www.federalrelay.us/

    SEC COMPENSATION PROGRAM: For questions regarding SEC pay setting practices, please click here .

    How You Will Be Evaluated

    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 found to be minimally qualified will be required to provide narrative responses (500 words or less per question) regarding the executive (core) and technical qualifications. After the announcement closing date, an HR specialist will determine if you meet the minimum qualifications described in the Qualifications Section. If you do, you will receive an email asking you to respond to the core and technical qualifications listed below. You must provide your responses within the established deadline.

    You will be rated on the following Competencies:

    Core Qualifications:
  • Management Experience: Experience designing and implementing strategies which maximize employee potential and foster high ethical standards in meeting the organization's vision, mission, and goals.
  • Leading Change/Achieving Results: Experience developing and implementing an organizational vision which integrates key national and program goals, priorities, values, and other factors of that organization. Examples should include experience implementing change in his/her organization, exercising leadership and motivating managers to incorporate vision and strategic planning into the process.
  • Building Coalitions/Communications: Experience explaining, advocating, and expressing facts and ideas (both orally and in writing) in a convincing manner. Experience working with the press, political appointees, Congress, and other high-level organizations and staff on various types of important national issues. Experience includes working in groups and teams conducting briefings with outside groups and gaining cooperation from others to obtain information and accomplish goals.

  • Technical Qualifications:
  • Describe your experience and expertise in applying Section 21F of the Securities Exchange Act of 1934 and the rules promulgated thereunder.
  • Describe your ability to analyze complex problems and devise innovative solutions.
  • The Assessment Questionnaire will take you approximately 20 minutes to complete. To preview the Assessment Questionnaire, click the following link https://apply.usastaffing.gov/ViewQuestionnaire/11075840

    Background checks and security clearance

    Security clearance
    Other

    Drug test required
    No

    Position sensitivity and risk
    High Risk (HR)

    Trust determination process
    Suitability/Fitness

    Required Documents

    You must provide a complete Application Package, which includes:
    • Required: Your responses to the Occupational Questionnaire.
    • Required: Your complete and comprehensive resume that includes a complete history of your work experience and the applicable employment dates with months and years. To determine if you qualify for this position, OHR will review your work history that is relevant to the specific position for which you applied. If you are an external candidate selected for this position, OHR will review your complete work history to establish your starting salary. Note: Your resume must directly address the definition of specialized experience listed in the qualification section of this announcement and must NOT contain pictures.
    • Required, if applicable: Veteran's documentation (DD-214, member 4 copy or other documentation containing dates of service and character of discharge.)


    If you are relying on your education to meet qualification requirements:

    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.

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