SENIOR OFFICER-DEPUTY DIRECTOR

Full Job Description

The Division of Examinations (Exams) is seeking to fill the position of Senior Officer-Deputy Director.

This position may be located in Atlanta, GA, Boston, MA, Chicago, IL, Denver, CO, Fort Worth, TX, Los Angeles, CA, Miami, FL, New York, NY, Philadelphia, PA, San Francisco, CA, or Washington, DC.

This position is open to current SEC employees. All qualification requirements must be met by the closing date of this announcement.

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. Applicants are responsible for confirming all required materials are submitted by the deadline.

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.

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 four year(s) of post J.D.

work experience as a practicing attorney, three years of which includes the following: Conducting, overseeing or supporting examinations of broker-dealers, transfer agents, investment companies, investment advisers and self-regulatory organizations; Assessing the compliance, activities and risks of registered securities firms; Providing assistance and information to securities firms and to investors; Managing a team or group that conducts, oversees or supports examinations or audits of financial or securities firms; and Providing information and/or assistance with respect to possible violations of federal securities laws and regulations.

Your resume will be reviewed by an HR Specialist and a Subject Matter Expert to determine if you meet the basic requirement (if applicable) and minimum qualification requirements as outlined in the announcement.

Major Duties:

As the Deputy Director of the Division of Examinations (EXAMS), the incumbent will assist the Director to achieve the Division's mission to promote compliance of the U.S.

securities laws (including but not limited to the Securities Act of 1933 and the Securities Exchange Act of 1934), prevent fraud, monitor risk, and inform SEC policy through examinations of registrants subject to U.S.

securities laws and the regulations promulgated thereunder.

Duties Allocate resources and personnel across programs, offices, and regions; oversee workloads, assess capacity, and direct adjustments to ensure timeliness, quality, and effective risk coverage.

Evaluate and refine operational processes to improve efficiency, reduce redundancies, and ensure the Division's structure supports mission delivery.

Manage significant operational and policy portfolios, including cross-program initiatives, enterprise-level processes, and major priority workflows.

Participate in the conception, development, planning, and implementation of policies, guidance, and procedures affecting Examination programs.

Supervise the formulation and execution of the Division's budget.

Coordinate EXAMS activities with other SEC divisions and offices to ensure integrated policy approaches, consistent risk assessment, and effective inter-office collaboration.

Represent EXAMS in high-level internal and external engagements, including Commission briefings, leadership forums, interagency collaborations, and external stakeholder meetings.

Contribute to the formulation of the Division's and Commission's policy views for testimony, hearings, and legislative proposals before Congress.

Assign work to subordinate offices/programs and ensure performance accountability and alignment with Division objectives and Commission priorities.