Senior Officer-Associate Director

Associate Director, Enforcement Division

The Associate Director, under the general direction of the Director of Enforcement and applicable Deputy Director, plans and establishes policy for the enforcement program, and directs, coordinates, controls, and evaluates the performance of Enforcement Division staff operations.

Duties:

• Managing investigations and litigation of alleged violations of the federal securities laws.
• Identifying and evaluating the types of practices engaged in, their significance under the laws and regulations administered by the Commission and determining appropriate procedures or remedies to be applied.
• Managing resources, overseeing investigative strategies, approving prospective recommendations to the Commission, reviewing Commission memoranda and court pleadings, and overseeing training of staff attorneys.
• Managing and participating in certain significant and complex investigations and litigation.
• Representing the Commission in dealings with the public and the news media.
• 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.
• Supervising the activities of staff members in connection with administrative proceedings before agency Administrative Law Judges, before the Commission and in connection with actions filed in federal district court.
• 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