Total 13 job vacancies by Securities and Exchange Commission

At the Securities and Exchange Commission (SEC), we are committed to diversity, equity, inclusion and accessibility (DEIA) and value a workforce that reflects the diverse experiences and perspectives of the communities we serve. As such, we welcome applications from qualified individuals of all backgrounds who share our commitment to public service.

Typical Duties:

• Providing oversight across all EDGAR agile development work for the EBO;
• Providing program management across multiple development projects in support of various SEC initiatives;
• Leading requirements assessment in close coordination with SEC Divisions/Offices;
• Performing technical oversight over Product Owners and several scrum teams composed of a large number of contractor support staff;
• Software development, testing, and deployment across several non-production and production environments;
• Conducting quality assurance checks on EDGAR software baseline; and
• Performing the administrative and human resource management functions relative to Federal and contractor support staff.

At the Securities and Exchange Commission (SEC), we are committed to diversity, equity, inclusion and accessibility (DEIA) and value a workforce that reflects the diverse experiences and perspectives of the communities we serve. As such, we welcome applications from qualified individuals of all backgrounds who share our commitment to public service.

Typical Duties:

• Perform triage of production incidents and lead the team's response to EDGAR system issues uncovered by SEC users and the filing community;
• Collaborate with EDGAR technical and business teams to derive solutions and coordinate responses with senior staff to schedule the timely delivery of software fixes and other remediation actions;
• Develop detailed project plans, conduct comprehensive IT studies dealing with process measurement, methods and procedures, and/or benchmarking, to identify problems and propose solutions to improve operations;
• Engage with SEC Divisions and Offices and the EDGAR Program Office to review EDGAR functionality, identify gaps in requirements and prioritize issues for planned and urgent releases;
• Manage multiple projects with competing priorities and time sensitive work activities; and
• Develop detailed project plans, conduct comprehensive IT studies dealing with process measurement, and to identify problems and propose solutions to improve operations.

In carrying out these responsibilities, the team strives to promote a risk-aware culture across the agency and advance the implementation of effective risk management practices to help ensure that key risks to current and future mission success are appropriately managed.

If selected, you will serve as an Associate Chief Risk Officer reporting directly to the Chief Risk Officer and serve as the manager responsible for organizing, directing, and managing all aspects of the Operational Risk Management (ORM) program, including the annual assessment of the agency's system of internal control over operations, reporting, and compliance.

Typical duties include:

• Directing ORM program activities, including day-to-day management of program staff;
• Developing and maintaining relationships with staff and management of the agency's divisions and offices as needed;
• Consulting with both ORM staff and agency division and office staff to formulate and review task plans and deliverables, ensuring conformance with program and project task schedules;
• Establishing and maintaining reports to show progress of projects to management, organize and assign responsibilities to subordinates, and oversee the successful completion of all assigned tasks;
• Holding domain knowledge of internal control and operational risk management required to ensure quality control of all deliverables; and
• Carrying out full range of supervisory duties, such as performance management, training, timecards, and awards; keeping employees informed regarding the policies, procedures, and goals of the Commission as they relate to their work on assigned projects.

At the Securities and Exchange Commission (SEC), we are committed to diversity, equity, inclusion and accessibility (DEIA) and value a workforce that reflects the diverse experiences and perspectives of the communities we serve. As such, we welcome applications from qualified individuals of all backgrounds who share our commitment to public service.

This position serves as Special Trial Counsel in the Litigation and Administrative Practice Group. The incumbent is responsible for handling litigation against the Commission involving, and providing advice on matters relating to, the Freedom of Information Act (FOIA), the Privacy Act, the Federal Tort Claims Act, the Administrative Procedure Act, and the Right to Financial Privacy Act.

Typical duties include:

• Representing the Commission in litigation brought against the Commission, including actions relating to the FOIA, the Privacy Act, the Administrative Procedure Act, and the Right to Financial Privacy Act.
• Acting as the agency representative in cases where the Department of Justice represents the Commission in litigation brought against or concerning the Commission, including actions under the Federal Tort Claims Act and Bivens actions.
• Advising the Commission and its offices, divisions, and staff on matters related to FOIA, the Privacy Act, privileges, and related matters.
• Advising on and responding to subpoenas issued to the Commission and its staff for testimony and production of documents and handling any litigation relating to those subpoenas.
• Conducting legal research and preparing memoranda addressing legal developments relating to the FOIA, the Privacy Act, the Right to Financial Privacy Act, the Federal Tort Claims Act, Bivens actions, and discovery.

At the Securities and Exchange Commission (SEC), we are committed to diversity, equity, inclusion and accessibility (DEIA) and value a workforce that reflects the diverse experiences and perspectives of the communities we serve. As such, we welcome applications from qualified individuals of all backgrounds who share our commitment to public service.

Duties Include:

• Serves as a supervisor and senior paralegal specialist providing support for the SEC Enforcement Division in the MIRO.
• Provides supervision for assigned unit personnel engaged in providing paralegal support.
• Utilize the most recent technology advances and databases; maintain proper control of all legal exhibits and documents; and serve as a technical resource for all cases.
• Represents the office in connection with issues and developments relating to paralegal operations in the MIRO in meetings with staff internal and external to the agency, including other federal agencies and the securities industry.
• Conducts the most complex research; develops substantive summaries; drafts a wide variety of legal documents; interviews witnesses; reviews pleadings, motions, and other legal documents.
• Provides trial support for the most complex and high-profile cases; resolves complex problems associated with all functions in the MIRO paralegal program including, but not limited to complex federal court filings, including emergency actions, motions for summary judgments, and pretrial briefs.

At the Securities and Exchange Commission (SEC), we are committed to diversity, equity, inclusion and accessibility (DEIA) and value a workforce that reflects the diverse experiences and perspectives of the communities we serve. As such, we welcome applications from qualified individuals of all backgrounds who share our commitment to public service.

The mission of the Division of Examinations is to protect investors, ensure market integrity and support responsible capital formation through risk-focused strategies that: (1) improve compliance; (2) prevent fraud; (3) monitor risk; and (4) inform policy. The results of the Division's examinations are used by the SEC to inform rule-making initiatives, identify and monitor risks, improve industry practices and pursue misconduct.

If selected, you will join a well-respected team that is responsible for supporting EXAMS' mission to conduct and coordinate the nationwide examination program for entities over which the Commission has regulatory authority.

As a Lead Research Specialist, you will:

• Perform registration filing reviews, research and analyses of complex filings, and advise other staff in conducting filing reviews and research assignments consistent with defined policies and procedures.
• Utilize strong interpersonal and oral communication skills, and act as a liaison and contact for key stakeholders within the Division of Examinations about applicant registration filings and documents under review within the work area.
• Utilize expert knowledge of EDGAR, Web CRD, IARD and other systems and research skills to identify trends and patterns related to certain registration applications based on filings and document reviews with a goal to inform the examination areas of the exam program.
• Execute strong written communication skills and utilize subject matter expert knowledge of investment adviser, broker dealer, transfer agent, and municipal advisor registration forms to draft and update procedural and other documents in the work area.
• Collaborate with management on topics affecting the work area and provides input on registration topics, workflow methods, and procedures to improve internal registration process efficiencies and effectiveness.

At the Securities and Exchange Commission (SEC), we are committed to diversity, equity, inclusion and accessibility (DEIA) and value a workforce that reflects the diverse experiences and perspectives of the communities we serve. As such, we welcome applications from qualified individuals of all backgrounds who share our commitment to public service.

The mission of the Division of Examinations is to protect investors, ensure market integrity and support responsible capital formation through risk-focused strategies that: (1) improve compliance; (2) prevent fraud; (3) monitor risk; and (4) inform policy. The results of the Division's examinations are used by the SEC to inform rule-making initiatives, identify and monitor risks, improve industry practices and pursue misconduct.

If selected, you will join a well-respected team that is responsible for supporting EXAMS' mission to conduct and coordinate the nationwide examination program for entities over which the Commission has regulatory authority.

As a Supervisory Attorney-Adviser, you will:

• Direct employees responsible for working and/or consulting with a variety of individuals conducting examinations;
• Operate or oversee inspections in regards to surveillance and/or risk management of broker-dealers, investment advisers, investment companies, municipal advisors, transfer agents and clearing agencies;
• Serve as a member of an examination team in an audit or examination program of a federal, state or regulatory body in the securities or financial services industry;
• Assist in the planning for and conducting of examinations of broker-dealers, investment advisers, investment companies, municipal advisors, transfer agents and clearing agencies; and
• Provide expert analysis and review of activities related to the federal securities law requirements applicable to self-regulatory organizations, broker-dealers, investment advisers, investment companies, municipal advisors, transfer agents and clearing agencies.

At the Securities and Exchange Commission (SEC), we are committed to diversity, equity, inclusion and accessibility (DEIA) and value a workforce that reflects the diverse experiences and perspectives of the communities we serve. As such, we welcome applications from qualified individuals of all backgrounds who share our commitment to public service.

The mission of the Division of Examinations is to protect investors, ensure market integrity and support responsible capital formation through risk-focused strategies that: (1) improve compliance; (2) prevent fraud; (3) monitor risk; and (4) inform policy. The results of the Division's examinations are used by the SEC to inform rule-making initiatives, identify and monitor risks, improve industry practices and pursue misconduct.

If selected, you will join a well-respected team that is responsible for supporting EXAMS' mission to conduct and coordinate the nationwide examination program for entities over which the Commission has regulatory authority.

As a Supervisory Securities Compliance Examiner, you will:

• Direct employees responsible for working and/or consulting with a variety of individuals conducting examinations;
• Operate or oversee inspections in regards to surveillance and/or risk management of broker-dealers, investment advisers, investment companies, municipal advisors, transfer agents and clearing agencies;
• Serve as a member of an examination team in an audit or examination program of a federal, state or regulatory body in the securities or financial services industry;
• Assist in the planning for and conducting of examinations of self-regulatory organizations, broker-dealers, investment advisers, investment companies, municipal advisors, transfer agents and clearing agencies; and
• Provide expert analysis and review of activities related to the federal securities law requirements applicable to broker-dealer, investment advisers, investment companies, municipal advisors, transfer agents and clearing agencies.

At the Securities and Exchange Commission (SEC), we are committed to diversity, equity, inclusion and accessibility (DEIA) and value a workforce that reflects the diverse experiences and perspectives of the communities we serve. As such, we welcome applications from qualified individuals of all backgrounds who share our commitment to public service.

The Division of Examinations conducts the SEC's National Exam Program. The Division's mission is to protect investors, ensure market integrity and support responsible capital formation through risk-focused strategies that: (1) improve compliance; (2) prevent fraud; (3) monitor risk; and (4) inform policy. The results of the Division's examinations are used by the SEC to inform rule-making initiatives, identify and monitor risks, improve industry practices and pursue misconduct.

The Associate Regional Director, under the immediate supervision of the Regional Director, plans and establishes staffing needs, work streams and policy for the Broker Dealer Examination Program of the Division of Examinations in the Chicago Regional Office (CHRO) and directs, coordinates, controls, and evaluates the performance in this area. The BDX examination program is responsible for conducting exams of broker-dealers, exchanges, clearing agencies, transfer agents, municipal advisors, municipal securities dealers, security-based swaps dealers, funding portals, investment advisors and/or investment companies.

Typical duties include:

• Collaborating with headquarters, other regional offices and appropriate divisions in determining national and regional examination priorities.
• Developing and leading national and regional initiatives and priority examinations.
• Triaging market events to determine impact to registrants and securities markets more broadly, and coordinating with headquarters and other regions about an appropriate response.
• Interacting with the examination staff and registrants on complex and novel issues identified on examinations.
• Informing and interacting with the policy divisions, including on novel and complex issues identified during examinations, that affect interpretations or guidance of Commission rules and regulations.
• In conjunction with headquarters staff, planning and evaluating the overall program of the Region with respect to compliance/examinations matters.
• Ensuring that the overall compliance and examination activities are carried out consistent with overall Commission and Division guidelines and priorities.
• Performing the full range of supervisory duties, including evaluating employee performance; evaluating staffing needs and hiring, making recommendations for appointment and promotion; hearing and resolving complaints; identifying development and training needs of employees; and other related supervisory tasks.
• Communicating with FINRA and other self-regulatory organizations in order to monitor the operational and financial condition of securities industry registrants within the region.
• 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.
• Participating in and/or planning public speaking events to educate the industry and general public about examination and Commission priorities.
• Promoting the spirit and practice of diversity, equity, inclusion, and accessibility (DEIA), furthering the goals of equal employment opportunity (EEO) by taking positive steps to ensure the accomplishment of the Commission's DEIA objectives, and adhering to nondiscriminatory employment practices.

At the Securities and Exchange Commission (SEC), we are committed to diversity, equity, inclusion and accessibility (DEIA) and value a workforce that reflects the diverse experiences and perspectives of the communities we serve. As such, we welcome applications from qualified individuals of all backgrounds who share our commitment to public service.

The Division of Examinations conducts the SEC's National Exam Program. The Division's mission is to protect investors, ensure market integrity and support responsible capital formation through risk-focused strategies that: (1) improve compliance; (2) prevent fraud; (3) monitor risk; and (4) inform policy. The results of the Division's examinations are used by the SEC to inform rule-making initiatives, identify and monitor risks, improve industry practices and pursue misconduct.

The Associate Regional Director, under the immediate direction of the Regional Director, plans and establishes staffing needs, work streams and policy for the Broker Dealer Examination Program of the Division of Examinations in the Chicago Regional Office (CHRO) and directs, coordinates, controls, and evaluates the performance in this area. The BDX examination program is responsible for conducting exams of broker-dealers, national securities exchanges, transfer agents, municipal advisors, securities-based swaps dealers, the Public Company Accounting Oversight Board, and the Securities Investor Protection Corporation.

Typical duties include:

• Collaborating with headquarters, other regional offices and appropriate divisions in determining national and regional examination priorities.
• Developing and leading national and regional initiatives and priority examinations.
• Triaging market events to determine impact to registrants and securities markets more broadly, and coordinating with headquarters and other regions about an appropriate response.
• Interacting with the examination staff and registrants on complex and novel issues identified on examinations.
• Informing and interacting with the policy divisions, including on novel and complex issues identified during examinations, that affect interpretations or guidance of Commission rules and regulations.
• In conjunction with headquarters staff, planning and evaluating the overall program of the Region with respect to compliance/examinations matters.
• Ensuring that the overall compliance and examination activities are carried out consistent with overall Commission and Division guidelines and priorities.
• Performing the full range of supervisory duties, including evaluating employee performance; evaluating staffing needs and hiring, making recommendations for appointment and promotion; hearing and resolving complaints; identifying development and training needs of employees; and other related supervisory tasks.
• Communicating with FINRA and other self-regulatory organizations in order to monitor the operational and financial condition of securities industry registrants within the region.
• 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.
• Participating in and/or planning public speaking events to educate the industry and general public about examination and Commission priorities.
• Promoting the spirit and practice of diversity, equity, inclusion, and accessibility (DEIA), furthering the goals of equal employment opportunity (EEO) by taking positive steps to ensure the accomplishment of the Commission's DEIA objectives, and adhering to nondiscriminatory employment practices.

At the Securities and Exchange Commission (SEC), we are committed to diversity, equity, inclusion and accessibility (DEIA) and value a workforce that reflects the diverse experiences and perspectives of the communities we serve. As such, we welcome applications from qualified individuals of all backgrounds who share our commitment to public service.

The Office of Information Technology (OIT) supports the Commission and staff of the SEC in all aspects of information technology. The office has overall management responsibility for the Commission's IT program including application development, infrastructure operations and engineering, user support, IT program management, capital planning, security, and enterprise architecture. OIT also maintains a very active website that contains a wealth of information about the Commission and the securities industry, and also hosts the Electronic Data Gathering Analysis and Retrieval (EDGAR) database for free public access.

Typical duties include:

• Strategically leading, implementing, monitoring, reporting and continuously improving the SEC's Information Security Program.
• Continuously evaluating and making recommendations to Agency management regarding the adequacy of the Agency's IT general and security controls for the Agency's technology systems.
• Establishing security and privacy related policies and processes for the internal IT management functions needed to effectively coordinate the large portfolio of activities and services in the SEC.
• Identifying, assessing and prioritizing IT risks to Agency data and systems.
• Ensuring the Chief Information Security Office (CISO) programs and initiatives are strategically aligned and communicated throughout the agency.
• Overseeing the Commission's Security Operations Center to ensure compliance with best practices and keep pace with emergent cyber security threats.
• Conducting and supporting regular internal and external security assessments, table top exercises, penetration tests, and playbook development to proactively test the effectiveness of the SEC's IT Security Program.
• Preparing an annual budget report on for the SEC's cyber-security program, to be included in the Commission's budget submission to Congress, describing the progress in achieving mission goals to ensure the protection of Commission information and IT systems.
• Recommending modifications and solutions for reducing IT security risks and develops strategies for responding to future IT security challenges.

At the Securities and Exchange Commission (SEC), we are committed to diversity, equity, inclusion and accessibility (DEIA) and value a workforce that reflects the diverse experiences and perspectives of the communities we serve. As such, we welcome applications from qualified individuals of all backgrounds who share our commitment to public service.

• Serves as a senior adviser and consultant responsible for a broad range of operational functions and projects.
• Collaborates with office leadership on approaches to maximize the utilization of resources to achieve organizational goals and objectives.
• Prepares Congressional justifications and operating budget requests, monitors and analyzes the budget, facilitates staffing and procurement activities, assists with documenting technology needs and IT project management, and facilitates space management.
• Serves as a Contracting Officer's Representative on one or more contracts.
• Communicates highly complex information to others via face-to-face meetings, telephone, or email.
• Develops and presents detailed reports, presentations, schedules, talking points, policies and procedures that are clear and concise.
• Identifies and develops ways to resolve problems or cope with issues that affect the accomplishment of program goals and objectives.

At the Securities and Exchange Commission (SEC), we are committed to diversity, equity, inclusion and accessibility (DEIA) and value a workforce that reflects the diverse experiences and perspectives of the communities we serve. As such, we welcome applications from qualified individuals of all backgrounds who share our commitment to public service.

The incumbent of this position will:

• Partner with division leaders to identify and implement system changes to support disclosure modernization efforts. Recommends technical solutions and approaches based on changes to business processes, new rulemakings, or policy changes.
• Provides subject matter expertise on disclosure review system business requirements that support system design, database design, access control, management systems, and other related technology initiatives. Facilitates system transformational efforts to increase effectiveness and improve business processes.
• Serves as primary Tier 2 help desk staff daily, including coordinating responses to technical issues and researching and resolving specific Division business process problems for specialized accountants and lawyers. Provides structure to the Tier 1 disclosure review system help desk support operations.
• Serves as the main point of contact for all aspects of the disclosure review system (i.e., system product owner), assists the Office of Information Technology (OIT) on future enhancements and releases, and manages support contracts by serving as a Contracting Officer Representative.
• Provides detailed requirements around system enhancements to the system development team based on detailed knowledge of the Division's review process and policies. This is the main point of contact to ensure system functionality supports all areas of business process (e.g., transactional filing reviews, annual report filing reviews, handling of confidential materials, etc.).
• Keeps the Division apprised of disclosure review system enhancements via email communications, development of job aids, and the facilitation of training sessions; and leads focus groups with system users to develop enhancements and track and resolve system bugs.