This Position Is No Longer Available
  1. Overview
  2. Duties
  3. Qualifications & Evaluations
  4. Benefits & Other Info
  5. How to Apply

Job Title:Associate Director (Investment Advisers/Investment Companies)

Agency:Securities and Exchange Commission

Job Announcement Number:13-DE-759194-DQ

This position is closed and no longer accepting online applications through USAJOBS.

The contents of the announcement can still be viewed.


$150,372.00 to $230,700.00 / Per Year


Thursday, October 04, 2012 to Monday, November 05, 2012




Full Time - Permanent




1 vacancy in the following location(s):
Washington DC Metro Area, DC United States
New York, NY United StatesView Map


United States Citizens


Do you want to perform challenging work in a collegial environment, while enjoying quality of life and a competitive compensation package? Invest in your career at the U.S. Securities and Exchange Commission (SEC)!

The SEC's mission is to protect investors, maintain fair, orderly, and efficient markets, and facilitate capital formation. The agency seeks high-caliber professionals who share the same values of integrity, fairness, accountability, resourcefulness, teamwork, and commitment to excellence.


The SEC offers a number of enhanced pay and benefits plus the standard Federal benefits: paid dental insurance and vision insurance and increased agency subsidy for health insurance which supplements your health benefits premiums by $25 for self-only coverage, and $50 for family coverage.


To find out more, go to


This Associate Director (Invesment Advisers/Investment Companies) position will be located in the Office of Compliance Inspections and Examinations in Washington, DC or New York, NY.


Salary Range for:  SO-01: $150,372 - $230,700    


Travel will be required. 


  • Candidate must be a US citizen.


Back to top

The Office of Compliance Inspections and Examinations (OCIE) is responsible for the overall oversight of the  Investment Company, Investment Advisers, Broker Dealers, Clearing Agencies, Transfer Agents, and Self-Regulatory Organizations programs, and, in particular, the SEC’s nationwide examination programs (NEP).  The OCIE protects investors through administering the SEC's NEP in Washington, DC and in the Commission's 11 regional offices conduct examinations of the nation's registered entities, including broker-dealers, transfer agents, investment advisers, investment companies, the national securities exchanges, clearing agencies, self-regulatory organizations (SRO’s) such as the Financial Industry Regulatory Authority and the Municipal Securities Rulemaking Board, and the Public Company Accounting Oversight Board .  OCIE’s mission is to protect investors, ensure market integrity and support capital formation through risk-focused strategies that: (1) improve compliance; (2) prevent fraud; (3) monitor risk; and (4) inform policy. The examination program plays a critical role in encouraging compliance within the securities industry, which in turn also helps to protect investors and the securities markets generally. 

The Associate Director in the Office of Compliance Inspections and Examinations, Office of Investment Advisers and Investment Companies Examinations, is responsible for the administration and execution of the Commission's nationwide programs relating to the examination of Investment Advisers and Investment Companies (IAICs), including manages, supervises, plans and directs the conduct of the investment adviser and investment company examination programs. The incumbent will be responsible for the following: 1) interfacing with the other divisions and offices at the SEC to convey OCIE’s positions on policy and to understand policy being formulated by such divisions and offices and determine the effect of proposed rules and statutory changes on the inspections and examination program; 2) develop a comprehensive program of examinations of IAICs and for coordination and oversight of the Commission’s IAIC nationwide examination programs, including verifying that all regional offices are carrying out the examination program consistently and recommend and develop new methods, forms and procedures to protect investors and maintain market integrity; and 3) the management of the examiners in the headquarters office program including special examinations and sweeps as appropriate and short term studies, surveys and examinations to detect trends or keep abreast of problem areas and international examinations.  

The incumbent must have knowledge of Investment Company Act of 1940 and Investment Advisers Act of 1940, the many rules and regulations issued pursuant thereto and, in particular, those that are covered in the Commission's inspection and examination of IAICs. In carrying out the above-referenced responsibilities, the incumbent will also have additional responsibilities, to include but not limited to: (i) evaluates inspections and examinations methodology to ensure appropriate coverage of an ever changing industry and to solve problems encountered during inspections and examinations; (ii) oversees the planning, organization and direction of staff in the nationwide IAIC examination program in developing goals and performing exams and analysis of information about IAICs; and (iii) assists in ensuring that the IAIC nationwide staff is knowledgeable about new legislation, rules, noaction and interpretive releases, and that such staff are applying the securities laws appropriate. Supervises the exchange of information and assistance between the office and other divisions and offices in assigned program areas.



Back to top

All qualification requirements must be met by the closing date of this announcement. Qualifying experience may be obtained in the private or public sectors. Qualifying education must have been obtained from an accredited college or university recognized by the Department of Education. Additional information on the qualification requirements is outlined in the OPM Qualifications Standards Handbook of General Schedule Positions. It is available for your review in our office, in other Federal agency personnel offices, and on OPM's web site at


Qualifying experience for the SO-01 level: Candidate must possess at least one year of specialized experience equivalent to at least the GS/SK-14 level applying accounting/auditing concepts and rules applicable to investment companies and investment advisers; interpreting and applying the provisions of the Investment Company Act of 1940 and Investment Advisers Act of 1940; providing sound guidance and expertise in the evaluation of policy issues of the federal securities laws; identifying volatile practices intended to take advantage of or defraud investors; and managing an organization that conducts examinations or audits of financial or securities firms. 

Knowledge, Skills and Abilities: Your resume will be evaluated on the listed KSAs in the occupational questionnaire for this announcement: 

Management Experience

Leading Change/Achieving Results

Building Coalitions/Communications

Substantial Knowledge And Understanding Of The Securities Rules And Regulations Of The SEC

Ability To Analyze Complex Problems And Devise Innovative Solutions

Substantial Knowledge Of And Experience In The Conduct Of Complex Examinations/Inspections


Important Notes:

1. Application procedures are specific to this vacancy announcement. Please read all the instructions carefully. Failure to follow the instructions may result in your not being considered for this position.

2. Male applicants born after December 31, 1959, must have registered for the selective service.  For more information, visit

3. Supplementary vacancies may be filled in addition to the number stated in this announcement.

4. This position has promotion potential to the SO-02. 

5. PROBATIONARY PERIOD: This appointment may require completion of a one-year probationary period.

6. 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.

7. PERMANENT CHANGE OF STATION (PCS): Moving/Relocation expenses may be authorized.

8. DIRECT DEPOSIT: All Federal employees are required to have Federal salary payments made by direct deposit to a financial institution of their choosing.

9. This position is not in the bargaining unit.


Information for veterans:  You may be eligible to receive preference in appointment.  For more information please visit:

Surplus or Displaced Federal Employees:  For information on how to apply through the Interagency Career Transition Assistance program (ICTAP) see  To exercise selection priority for this vacancy, displaced Federal employees must meet the Well Qualified criteria of the rating scale for this position.



BASIS OF RATING:  Candidates who meet the basic qualification requirements for this vacancy will be rated according to the Category Rating Procedures. This means that candidates will be assigned to a pre-defined quality category based on their application and veteran preference. Generally, only candidates in the top quality category will be referred to the hiring manager.

Individuals with veteran's preference will be placed ahead of other applicants within the rating category to which they are assigned. Preference-eligible veterans who have at least 10 percent compensable service-connected disability, and who have met the basic qualification requirements, will be placed ahead of other applicants in the highest category.


There will be three quality categories: Highly Qualified, Well Qualified and Qualified



Back to top

The Federal Government offers a comprehensive benefits package.   Explore the major benefits offered to most Federal employees at


The SEC provides reasonable accommodations to applicants with disabilities. If you need a reasonable accommodation for any part of the application and hiring process, send an email to or call 202-551-4158.  To request sign language interpreting services for interviews, send an email at least 5 business days before the date you will need this service.


TTY/ASCII users should use the toll free Federal Relay Service number: 1-800-877-8339 and provide the SEC number of the office or individual you are calling. For more information about using the Federal Relay Service see:


Back to top

To be considered for this position, you must submit a complete Application Package.

All materials must be received by 11:59 p.m. ESTMonday, November 05, 2012, Please follow the instructions listed below for submitting the Occupational Questionnaire, Résumé, and Required Documents.


Please read all instructions before you begin. You are solely responsible for the delivery of your materials. We cannot be responsible for incompatible software, illegible fax transmissions, etc.


To begin the process, click the Apply Online button at the bottom of this screen to create an account or log in to your existing USAJOBS account. Follow the prompts to complete the occupational questionnaire. Please ensure you click the Submit My Answers button at the end of the process.


Note: To return to a previously Saved or Incomplete application you may use the following link:


To fax supporting documents you are unable to upload, complete this cover page using the following Vacancy ID 759194.  Fax your documents to 1-478-757-3144.

If you cannot apply online:


1. Click the following link to view and print the occupational questionnaire View Occupational Questionnaire, and

2. Print this 1203FX form to provide your response to the occupational questionnaire and

3. Fax the completed 1203FX form along with any supporting documents to 1-478-757-3144. Your 1203FX will serve as a cover page for your fax transmission.



For this job announcement the following documents are required:

1. Your responses to the Occupational Questionnaire

2. Résumé

3. For Veterans: DD-214; For Disabled Veterans: DD-214, SF-15 and VA letter dated 1991 or later (if you are claiming veterans preference)


Donna M. Quarles
Phone: (202)551-7452
Agency Information:
Office of Human Resources
100 F Street NE
Washington , DC


After a review of your résumé, required documents and assessment questionnaire is complete, you will be notified of your rating and or referral to the hiring official. If further evaluation or interviews are required, you will be contacted.


Back to top
Print Preview

Job Announcement Number:


Control Number: