This announcement is open to current SEC employees in the Division of Examinations only. The Office of Broker-Dealers (BDX), Office of Investment Advisers and Investment Companies (IA/IC) and Office of Clearance Settlement (OCS) within the Division of Examinations is filling several positions. This position is a Supervisory Securities Compliance Examiner, SK-1831-17 and will be located in one of the following locations: Chicago, IL; Denver, CO; New York, NY or Washington, DC.
All qualification requirements must be met by the closing date of this announcement. Time-in-grade for this announcement is one year at the SK- 14 level. 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. 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: Conducting compliance inspections, examinations, investigations, and/or audits of broker-dealers, clearing agencies, transfer agents, municipal advisers, investment advisers, investment companies, security-based swap dealers, or self-regulatory organizations; AND Leading teams of staff with varying backgrounds (e.g., legal, accounting, examining); AND Identifying emerging risks and issues affecting financial institutions.
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. If selected, 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. As a Supervisory Securities Compliance Examiner, you will: Plan and assign work, advising 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; Direct staff performing extensive and extremely complex inspections or examinations, working with the field offices, reviewing reports and recommendations; Provide 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; Provide 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 Represent 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. Vacancies are in the following EXAMS' programs and duty locations: BDX Chicago, New York OCS Chicago, DC, New York IAIC Chicago, Denver