SENIOR OFFICER- DIRECTOR

Full Job Description

The Director position is in the Office of the Investor Advocate (OIAD) located in Washington, DC and is open to all US citizens, with the exception of current SEC employees and the limitations set forth below.

An individual who serves as the Investor Advocate may not be employed by the Commission: (1) During the 2-year period ending on the date of appointment as Investor Advocate; or (2) During the 5-year period beginning on the date on which the person ceases to serve as the Investor Advocate 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. Applicants are responsible for confirming all required materials are submitted by the deadline.

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.

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-03: Applicant must have at least four years post-J.D experience identifying legal issues, providing legal analyses, providing legal solutions/recommendations, and preparing legal documents ,which also includes at least three years of specialized experience: Advocating for the interests of investors in securities and investor protection issues, from the perspective of investors; Recommending statutory, regulatory or policy changes/solutions; Interpreting and applying the provision of federal or state securities laws or the rules of self-regulatory organizations; Analyzing legal and/or factual issues in regards to corporate governance, accounting, corporate disclosures, or related matters; AND Analyzing the impact of federal or state securities laws and/or the rules of self-regulatory organizations on retail investors, including under-served or vulnerable groups (e.g., minorities, women, older investors).

Major Duties:

If selected, you will serve as the Investor Advocate, Office of the Investor Advocate.

Typical duties include: Identifying areas in which investors would benefit from regulatory changes and proposing appropriate changes to the SEC and self-regulatory organizations.

Identifying investor problems with financial service providers and investment products. Conducting outreach to investors to solicit views on relevant issues.

Analyzing the potential impact on investors of proposed SEC regulations or SRO rules, including through conducting investor research.

Assisting investors in resolving problems with the SEC or SROs, including through supervision of the SEC's Ombudsman.

Proposing to Congress changes that would mitigate problems identified and promoting the interests of investors. Adhering to nondiscriminatory employment practices.

Interacting with a variety of organizations and individuals, including Commissioners, SEC staff and management, Congress, and the general public.