Summary

OEC oversees compliance with Federal ethics law, Government Wide Standards of Conduct, related federal statutes, Office of Government Ethics regulations and SEC requirements. OEC provides advice and policy guidance to present and former SEC employees on a variety of issues; personal and financial conflicts of interest, securities holdings and transactions by SEC employees and their immediate families, gifts, seeking and negotiating other employment, outside activities, and financial disclosure.

• Serves as a senior management compliance attorney providing direction and oversight for a staff serving as the legal counsel for the area of business and personal ethics.

• Oversees and supervises the agency's Personal Trading Compliance System (PTCS).

• Addresses questions of law concerning the SEC's supplemental regulations.

• Makes policy decisions so that legal advice, opinions, and determinations ensure the propriety of SEC actions, policies, practices, and positions under pertinent ethics statutory and regulatory provisions.

• Supervises and leads the agency's compliance testing program to ensure agency employees are complying with applicable SEC ethics regulations.

• Audits and evaluates compliance of SEC personnel through review of brokerage statements, financial disclosure forms and PTCS data.

• Maintains a high profile throughout the SEC in practicing and promoting preventive law by exercising exceptional initiative, ingenuity, and resourcefulness in foreseeing legal impediments and develops solutions to those impediments.

• Ensures that SEC executive management is made aware of existing and potential legal issues and other legislation and regulations impacting the SEC ethics program and agency operations.

• Ensures the fulfillment of requirements for a quality legal product and the continued development of subordinates to meet changing legal requirements and contingencies.

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