ASSISTANT DIRECTOR

Full Job Description

The Division of Examinations is seeking a Supervisory Securities Compliance Examiner in the Office of Broker-Dealers (BDX), Office of Investment Advisers and Investment Companies (IA/IC), Private Funds Unit (PFU) and Office of Clearance Settlement (OCS).

As an Assistant Director, 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.

Time-in-grade for this announcement is one year at the GS/SK-14 level. Applicants are responsible for confirming all required materials are submitted by the closing date of the announcement.

Please check the How You Will Be Evaluated and Required Documents sections carefully, as missing documents will render the application incomplete and ineligible for review.

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. All qualification requirements must be met by the closing date of this announcement.

MINIMUM QUALIFICATION REQUIREMENT: SK-17: Applicant must have at least one year of specialized experience equivalent to the GS/SK-14 level .

Specialized experience includes: Conducting compliance inspections, examinations, investigations, and/or audits of broker-dealers, clearing agencies, transfer agents, municipal advisers, investment advisers, investment companies, security-based swap dealers, private funds or self-regulatory organizations; AND Leading teams of staff with varying backgrounds (e.g., legal, accounting, examining); AND Identifying emerging risks and issues affecting financial institutions.

ACCOMPLISHMENT RECORD COMPETENCIES: Your Accomplishment Record narratives should address the following competencies.

See the How You Will Be Evaluated section below for more information: Examwork: Effectively conducts examwork activities (whether onsite, correspondence, etc.) in a professional manner to procure information from an entity under examination.

Critical Thinking: Considers a variety of factors, general and subject matter-specific, when making decisions and determining next steps in a case.

Managing Information (core): Ability to ensure that programs strategically utilize and share information, with some guidance.

Teamwork and Collaboration: Interacts with internal and external others in a manner that advances examinations and SEC goals and objectives. Major Duties:

The mission of the Division of Examinations is to protect investors, ensure market integrity and support responsible capital formation through risk-focused strategies that:

improve compliance;

prevent fraud;

monitor risk; and

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: Plan and assign work, advise on program goals and objectives, make decisions on work problems, and organize and monitor the flow of work for the assigned programs in order to achieve the most effective results within a complex environment; Direct staff performing extensive and extremely complex inspections or examinations, work with the field offices, review reports and recommendations, provide advice on novel questions, analyze industry trends, and follow-up to ensure that recommendations are implemented by the industry; Attend and participate in meetings and conferences where crucial policy formulation, procedural development, and program planning matters are discussed and agency positions developed; Provide executive leadership and management of the staff and work products by maintaining and exhibiting knowledge, insight, and understanding of the assigned specialized segment of the market; monitor new or unchartered marketing or financial techniques and developments that impacts SEC decisions; and Represent the agency in high level meetings, conferences, and presentations involving a wide range of participants such as regulatory or law enforcement agencies; state, local, national, or international government offices; private industry; and the academic community.

Vacancies are in the following EXAMS' programs and duty locations: BDX: Chicago and New York IA/IC: Chicago, Denver, New York and Philadelphia OCS: Chicago, DC and New York PFU: All Locations