Senior Officer, Regional Director – Securities and Exchange Commission

Job Details


This is a Senior Officer position located in Chicago, IL. This is a term position not-to-exceed three years and may be extended for one additional year without further competition.


The Regional Director is responsible for the day-to-day oversight and administration of examination, investigation and litigation activities in the Chicago Regional Office. Principal functions of this office include: inspection of broker-dealers, transfer agents, investment companies and investment advisers; investigation of possible violations of federal securities laws; trial of civil cases in United States District Courts and administrative proceedings before administrative law judges; interpretations regarding the application and meaning of Commission rules and regulations; and assistance to United States Attorneys in the prosecution of criminal cases.

Typical duties include:

  • Coordinating the various program and management activities within the region and with the Headquarters staff, as appropriate.
  • Receiving general program and policy guidance and direction and management oversight from the Director of the Division of Enforcement, the Director of the Office of Compliance Inspections and Examinations, and from other Headquarters Divisions/Offices, depending upon the program area involved.
  • Overseeing the initiation and conduct of investigations deemed necessary to determine whether violations of any of the federal securities laws, or the rules and regulations adopted thereunder, have occurred or are about to occur.
  • Reviewing of internal operating procedures of the regional office to improve program execution, to promote increased efficiency of operations and to assure the full utilization of resources.
  • Participating in and leading programs aimed at communicating agency priorities and objectives to industry representatives, investors, other regulators, and members of the bar.
  • Establishing and maintaining effective working relationships with senior officials in other SEC Offices and Divisions; state and federal government agencies, civil and criminal; SROs, regulated entities, and public companies; the securities bar; and the media.
  • Having high-level oversight of regional administrative functions, including internal controls, budgets, information technology, and other administrative support.

Travel Required

Occasional travel – You may be expected to travel for this position.

For more information:

Job Status: Closed

Regions: Chicago

Location: Chicago, IL

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