Summary

The Division of Examinations (EXAMS) Office of the Chief Counsel is seeking a Supervisory Securities Compliance Examiner (Assistant Director), SK-1831-17 and will be located in one of the listed locations.

As an Assistant Director for the Office of Compliance within EXAMS' Office of Chief Counsel, you will lead a team responsible for carrying out the duties of Compliance for the Division of Examinations.

Duties

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

• Serving as senior manager directing and managing the Compliance Group, including assessing policy, program, and project feasibility and determining and implementing compliance and operational-risk related program goals;
• Planning and assigning work to members of the Compliance Group and evaluating such work, advising on program goals and objectives, making decisions on work problems, and organizing and monitoring the flow of work for the group in order to achieve the most effective results within a complex environment;
• Supervising the development and implementation of policy regarding the examination process as well as periodic reviews of examination policies and procedures;
• Planning, formulating, and executing compliance oversight for the examination program through ongoing monitoring, testing, and ad hoc reviews to help ensure compliance with Division policies and procedures and to foster consistency in approach and application of exam policy across the examination program;
• Leading EXAMS's program for identifying, assessing and mitigating operational risk and represent EXAMS in agency-wide operational risk initiatives;
• Managing the management assurance process and the assessment process to comply with Section 961 of the Dodd-Frank Wall Street Reform and Consumer Protect Act;
• Presenting to EXAMS senior management on a periodic basis regarding compliance matters; and
• Developing and executing a training program and communication strategy for examination staff on policies and procedures.

Requirements

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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 one year of specialized experience equivalent to the GS/SK-14 level. Specialized experience includes:

1. Briefing and facilitating discussions with management on policy and/or operational risk issues to develop policy; AND
2. Developing internal policies and procedures for a financial regulatory organization or a securities-related financial institution (e.g., registered broker-dealer, investment adviser, registered investment company, registered self-regulatory organization); AND
3. Leading programs or projects through proposing and defending recommendations; AND
4. Supporting and working with an internal compliance program or internal supervisory control program of a financial regulatory organization or securities-related financial institution.

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

Competency 2: Strategic Execution: Understand and implement SEC's and Division/Office's policies and goals, with regard to personnel or programs in their purview anticipating, identifying, and addressing the impact of internal and external environmental factors, linking them to capabilities and potential of the organization.

Competency 3: Information Gathering: Ability to gather and process large amounts of information and make connections to understand possible deficiencies.

Competency 4: Teamwork and Collaboration: Interacts with internal and external others in a manner that advances examinations and SEC goals and objectives.

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.

IMPORTANT INFORMATION FOR SURPLUS OR DISPLACED FEDERAL EMPLOYEES: If you have never worked for the federal government, you are not I/CTAP eligible. To receive selection priority for this position, you must: (1) meet CTAP or ICTAP eligibility criteria; the questionnaire asks you to identify your ICTAP/CTAP eligibility (2) be rated well-qualified; and, (3) submit the appropriate documentation to support your CTAP or ICTAP eligibility. View information about I/CTAP eligibility on OPM's Career Transition Resources website.

Benefits

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A career with the U.S. government provides employees with a comprehensive benefits package. As a federal employee, you and your family will have access to a range of benefits that are designed to make your federal career very rewarding. Opens in a new windowLearn more about federal 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.