Assistant Director

Summary

The Division of Examinations is seeking a Supervisory Securities Compliance Examiner (Assistant Director), SK-1831-17 in the Office of FINRA and Securities Industry Oversight (FSIO).

As an Assistant Director, you will join a well-respected team that is responsible for supporting EXAMS' mission to conduct and coordinate the examination program for certain SROs over which the Commission has regulatory authority.

Duties

In this role as a Assistant Director, you will be responsible for:

• Planning and assigning work, advise on program goals and objectives, making decisions on work problems, and organizing and monitoring the flow of work for the assigned programs in order to achieve the most effective results within a complex environment;
• Directing staff performing extensive and extremely complex inspections or examinations, working with the field offices, reviewing reports and recommendations;
• Providing advice on novel questions, analyzing industry trends, and following-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;
• Providing 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; monitoring new or unchartered marketing or financial techniques and developments that impacts SEC decisions; and
• Representing 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.

Requirements

Conditions of employment

• CITZENSHIP: You must be a US Citizen.
• SELECTIVE SERVICE: Males born after 12/31/59 must be registered or exempt from Selective Service (see https://www.sss.gov/).
• DRUG TESTING: This position may be subjected to drug testing requirements.
• PERMANENT CHANGE OF STATION (PCS): Moving/Relocation expenses are not authorized.
• DIRECT DEPOSIT: All Federal employees are required to have Federal salary payments made by direct deposit to a financial institution of their choosing.
• SUPERVISORY PROBATIONARY PERIOD: This appointment may require completion of a two year supervisory/managerial probationary period.
• The selectee is required to report to the duty station(s) listed.
• Typical Examiner Travel: Examination staff routinely travel to the offices of registered entities to conduct on-site inspections of facilities, to meet with and interview entity personnel, and to examine certain business records

Qualifications

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 HowYou 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:

1. Conducting compliance inspections and, examinations, of self regulatory organizations ("SROs") or broker-dealers; AND
2. Leading teams of staff with varying backgrounds (e.g., legal, accounting, examining); AND
3. identifying emerging risks and issues affecting SROs or broker-dealers..

ACCOMPLISHMENT RECORD COMPETENCIES: Your Accomplishment Record narratives should address the following competencies. See the How You Will Be Evaluated section below for more information:

• Competency 1: Examwork: Effectively conducts examwork activities (whether onsite, correspondence, etc.) in a professional manner to procure information from an entity under examination.
• Competency 2: Critical Thinking: Considers a variety of factors, general and subject matter-specific, when making decisions and determining next steps in a case.
• Competency 3: Managing Information: Ability to ensure that programs strategically utilize and share information, with some guidance.
• Competency 4 : Teamwork and Collaboration: Interacts with internal and external others in a manner that advances examinations and SEC goals and objectives.

Education

This job does not have an education qualification requirement.

Additional information

Supplementary vacancies may be filled in addition to the number stated in this announcement and may be filled from any division or office within the agency.

SEC COMPENSATION PROGRAM: Total salary (base pay + locality) is dependent upon duty location. The overall salary range listed above is provided for informational purposes. The pay for current SEC employees will be determined according to the procedures specified in the agency's policy.

Benefits

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Eligibility for benefits depends on the type of position you hold and whether your position is full-time, part-time or intermittent. Contact the hiring agency for more information on the specific benefits offered.