Senior Adviser - Tips, Complaints, and Referrals

Full Job Description

The Division of Enforcement is seeking a Senior Adviser - Tips, Complaints, and Referrals (TCR) in the Home Office Associate Groups in Washington, DC.

As a Senior Adviser - (TCR), you will be given substantial responsibility for providing the Senior Officer with high level assistance on priority matters.

This position offers a unique opportunity to be exposed to a wide range of important issues and to play a substantial role in advancing the goals and priorities of the Division.

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-16: Applicant must have one year of specialized experience equivalent to the GS/SK-14 level.

Specialized experience includes: Applying knowledge of the Federal securities laws and Commission rules and regulations; OR Conducting investigations and/or civil cases or administrative proceedings; OR Applying knowledge of the securities market.

ACCOMPLISHMENT RECORD COMPETENCIES: Your Accomplishment Record narratives should address the following competencies.

See the How You Will Be Evaluated section below for more information: Legal Analysis - Utilizes expert legal knowledge to apply relevant law to the facts of each case.

Critical Thinking - Considers a variety of factors, general and subject matter-specific, when making decisions and determining next steps in a case.

Development and Use of Record - Strategically collects, analyzes, and organizes an evidentiary record.

Program Management - Ability to develop and execute programs to deliver results that efficiently and effectively meet SEC's mission, strategic plan and goals, with little or no guidance.

Major Duties:

In this role as a Senior Adviser - Tips, Complaints, and Referrals, you will be responsible for: Providing leadership and legal advice to attorneys and senior leadership on all matters relating to Tips, Complaints, and Referrals (TCRs) and Suspicious Activity Reports (SARs).

Developing and directing the ENF HO Associate Groups TCR/SAR program, including creating and implementing policies and procedures, leading or participating in committees and working groups relating to TCRs and SARs.

Managing the TCR/SAR process within ENF HO Associate Groups, including driving risk identification efforts, applying expert knowledge to triage and assignment of TCRs and SARs, and serving as ENF HO TCR Administrator and POC for TCRs.

Providing the Home Office Associate Directors with high level assistance on TCR, SARs and other matters.

Assisting in the formulation and review of TCRs and SARs, including providing analytical support for key decision-making, and preparing written materials to advance Enforcement's priorities.

Identifying and communicating with internal subject matter experts and other stakeholders at the Commission to analyze TCRs and SARs.

Communicating with federal, state, and local criminal and civil government authorities regarding potential referrals. Designing and implementing efforts to increase efficiency and productivity.

Representing the Enforcement Division at various meetings or providing assistance in preparing for such meetings.