Exam Manager

Summary

The Division of Examinations is seeking Supervisory Securities Compliance Examiner (Exam Manager), SK-1831-15 in the Office of Investment Advisers and Investment Companies (IA/IC).

As a Exam Manager, 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.

Duties

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The mission of the Division of Examinations is to protect investors, ensure market integrity and support responsible capital formation through risk-focused strategies that: (1) improve compliance; (2) prevent fraud; (3) monitor risk; and (4) 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.

In this role as an Exam Manager, you will be responsible for:

• Directing employees responsible for working and/or consulting with a variety of individuals in the conduct of legislated programs;
• Producing well-constructed written reports and presentations whose audience includes senior staff from across the Division and the SEC;
• Serving as a member or supervisor of an examination team in an audit or examination program of a federal, state or regulatory body in the securities or financial services industry;
• Operating or overseeing examinations based on the surveillance or assessment of investment companies, investments advisers, broker dealer, SROs, clearing agencies, municipal advisors, and transfer agents and their associated persons to determine level of compliance with federal/state securities laws and regulations;
• Assigning work, taking into account skills and abilities of the staff and monitoring work performance;
• Providing expert analysis and review of activities related to the federal securities law requirements for investment companies/investments advisers, broker dealer, SROs, clearing agencies, municipal advisors, and transfer agents and their associated persons; and
• Assisting and leading in developing or enhancing existing tools, data sets and applications that assist the Division in executing its risk-based examination approach.

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/)
• SECURITY CLEARANCE: Entrance on duty is contingent upon completion of a pre-employment security investigation. Favorable results on a Background Investigation may be a condition of employment or selection to another position.
• 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.
• PROBATIONARY PERIOD: This appointment may require completion of a one-year 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-13 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-15: Applicant must have at least one year of specialized experience equivalent to the GS/SK-13 level:

1. Auditing, examining, or investigating principles, techniques, and practices that involve the review and evaluation of procedures, records and practices of broker-dealers, transfer agents, municipal advisers, security-based swap dealers or self-regulatory organizations and funding portals; AND
2. Preparing reports of findings; and/or leading teams of staff with varying backgrounds (e.g., legal, accounting, examining); AND
3. Identifying emerging risks and issues affecting financial institutions, market intermediaries, and participants and producing written reports.

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

Competency 3: Critical Thinking - Considers a variety of factors, general and subject matter-specific, when making decisions and determining next steps in a case.

Competency 4: Teamwork and Collaboration - Interacts with internal and external others in a manner that advances examinations and agency 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; a selectee's initial pay will be established below the maximum rate of the range. The pay for current SEC employees will be determined according to the procedures specified in the agency's policy. Please visit the agency's Compensation Overview page for more information.

Candidates should be committed to improving the efficiency of the Federal government, passionate about the ideals of our American republic, and committed to upholding the rule of law and the United States Constitution.

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.