28 days old


U.S. Securities and Exchange Commission
Washington, District of Columbia



Open and Close Dates: 11/01/2022 to 11/15/2022

Location: Washington, DC

Salary: $190,564 - $275,867 per year

Job Link: https://www.usajobs.gov/job/686866800

The Associate Director position in the Division of Corporation Finance's Specialized Policy and Disclosure Group is located in Washington, D.C and is open to US citizens.

Conditions of Employment

  • CITIZENSHIP: This position is open to US Citizens.



As Associate Director of the Specialized Policy and Disclosure Group in the Division of Corporation Finance, you will be responsible for overseeing three offices: the Division's Office of Mergers and Acquisitions (OMA), the Office of International Corporate Finance (OICF), and the Office of Structured Finance (OSF). You will collaborate with Division leadership to ensure that disclosure review, rulemakings, and interpretive positions taken by these offices serve the Commission's statutory mission. Together, these offices provide valuable legal guidance for investors, markets, the public, and the Commission on issues that have unique merger, international, and structured finance components.

Typical Duties Include:

Advising on the Securities Act of 1933; the registration, reporting, proxy and other disclosure and fraud provisions of the Securities Exchange Act of 1934; the Trust Indenture Act of 1939; the Sarbanes-Oxley Act of 2002; the Dodd-Frank Wall Street Reform and Consumer Protection Act; and the rules, regulations, forms and procedures promulgated under implementing the foregoing statutes.

Assuring compliance with the requirements of the statutes, rules and forms administered by the Division, including in filings reviewed by OMA, OICF, and OSF.

Directing studies or reviews of capital formation and corporate disclosure policy and formulating new or revised rules, forms, policies, and programs.

Supervising the maintenance of an informational and legal interpretative program in assigned offices to render assistance and advice to registrants, prospective registrants, accounting, legal, financial, and investment firms, and the general public with respect to the registration, reporting, and other disclosure requirements of the statutes and rules administered by the Division.

Establishing and maintaining effective working relationships with various high-level individuals, including Members of Congress and their staff, external stakeholders including representatives of investor groups, representatives of the most important business and industrial enterprises in the United States and foreign countries, as well as with the leading law and accounting firms and associations in the United States.

Performing the administrative and human resource management functions relative to supervised staff including: planning, scheduling, and assigning work; establishing guidelines and performance expectations for staff; providing feedback; periodically evaluating employee performance; overseeing training and development of staff; managing time and attendance; promoting a diverse and inclusive work environment that drives a positive "tone at the top"; and carrying out Equal Employment Opportunity (EEO) policies through active participation in program activities that foster positive working relationships and collaborative behavior.



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 at least four years of post J.D. work experience identifying legal issues, providing legal analyses, recommendations, and preparing legal documents, which also includes at least three years of specialized experience:

1) Interpreting and providing guidance on securities regulatory matters involving business combinations, proxy solicitations, tender offers, beneficial ownership reporting, corporate governance, securities issuances by sovereigns or foreign private issuers, or issuances of asset-backed securities;

2) Overseeing the preparation or review of SEC filings;

3) 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

4) Providing guidance and evaluation of rulemaking initiatives and overarching policy issues related to the federal securities laws.


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 and the link to the application can be found here: https://www.usajobs.gov/job/686866800


Posted: 2022-11-02 Expires: 2022-12-02

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U.S. Securities and Exchange Commission
Washington, District of Columbia

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