SENIOR OFFICER-ASSOCIATE DIRECTOR

Full Job Description

The Division of Examinations (Exams) is seeking to fill the position of Associate Director in the Office of Investment Advisers and Investment Company Examinations (IA/IC).

This position is located in Miami, FL and is open to the public. 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. Qualifying education must have been obtained from an accredited college or university recognized by the U.S.

Department of Education. All qualification requirements must be met by the closing date of this announcement. 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 complex legal documents, which also includes at least three years of specialized experience: Conducting examinations of broker-dealers, transfer agents, investment companies, investment advisers and self-regulatory organizations; Assessing the compliance, activities and risks of registered securities firms in the region; Providing assistance and information to securities firms and to investors in the region; Managing a team or group that conducts examinations or audits of financial or securities firms; and Providing information and/or assistance to enforcement staff with respect to possible violations of federal securities laws and regulations.

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

See the How You Will Be Evaluated section below for more information: Leading the Organization: Build and support the organization's vision, create strategies to achieve the vision, support and lead innovative and creative initiatives to meet organizational goals.

Leading and Developing People: Recruit, lead, develop and manage the workforce, constructively manages differences and potential conflicts between employees, building teams that meet and exceed an organization's mission, strategic plan, and goals.

Results Orientation: Meet organizational goals by effectively managing program area, identifying and solving important problems, making sound and timely decisions, and effectively managing and sharing information.

Building Coalitions: Build coalitions by partnering with others to build strategic relationships, influencing and negotiating with those in sphere of influence to achieve favorable outcomes for an organization.

Analysis and Risk Assessment: Analyze information to assess an entity's level of risk for deficiencies in various focus areas.

Exam work: Conduct exam work activities (whether onsite, correspondence, etc.) in a professional manner to procure information from an entity under examination.

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

The Division of Examinations (Exams) is seeking to fill the role of Associate Director within the Office of Investment Adviser and Investment Company Examinations (IA/IC).

This leadership position is based in the Miami Regional Office, which oversees examination activity across Florida, Louisiana, Mississippi, Puerto Rico, and the U.S. Virgin Islands.

The Associate Director plays a critical role in shaping and implementing the Division's examination strategy for registrants in the MIRO area of responsibility.

The Associate Director (Exams) leads and manages the IA/IC Examination Program under the general direction of the National Associate Director(s).

The incumbent serves as a senior advisor to National leadership on examination priorities, risk areas, and program strategy for registrants in the MIRO area of responsibility.

Typical duties include: Supervising the IA/IC staff in the Miami Regional Office.

Developing, planning, and implementing policies, procedures, and guidance governing risk assessment and examinations of investment advisers and investment companies.

Overseeing the execution of examination goals Engaging in high-level discussions and decision-making across all aspects of the examination program, both within the Division and across the Commission.

Providing leadership and direction on complex and sensitive legal matters arising during examinations and offering authoritative legal advice related to statutes, rules, and regulatory practices within the SEC's jurisdiction.

Representing the Division and the Commission at interagency working groups, industry conferences, law enforcement programs, and academic or professional events.

Advising senior leadership across the Division and the Commission; collaborating with federal, state, local, and international regulatory partners; and engaging with private-sector stakeholders on matters with significant regulatory impact.

Serving as a subject-matter authority on examinations of investment advisers and investment companies, including emerging risks, evolving industry practices, and market developments