Job Overview

Summary

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

The SEC offers a number of exceptional enhanced pay and benefits plus the standard Federal benefits!  Enjoy with SEC:

·        Paid dental insurance and vision insurance

·        Increased agency subsidy for health insurance which supplements

your health benefits premiums by $25 for self-only coverage, and $50 for family    coverage

·        Mass transportation subsidy up to $245 per month

·        Telework Opportunities

·        Domestic Partner Health Insurance Reimbursement Program

 To find out more, go to http://www.sec.gov/jobs.shtml.

This position is in the Office of Broker Dealer within the Office of Compliance Inspections and Examinations located in Washington, DC or in any one of the Regional Offices. 

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 national examination program (NEP).  The OCIE protects investors through administering the SEC's NEP in Washington, DC and in the Commission's 11 regional offices who 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. 

Duties

This Associate Director for the Office of Compliance Inspections and Examinations is the National Associate Director for the Broker Dealer Program, and is responsible for the administration and execution of the Commission's nationwide programs relating to the examination of Broker Dealers, including managing, supervising, planning and directing the conduct of the Broker Dealer examination programs. The incumbent will be responsible for the following: 1) developing a comprehensive program of examinations of Broker Dealers and for coordination and oversight of the Commission’s nationwide broker dealer examination programs. This includes verifying that all regional offices are carrying out the examination program consistently; and recommending and developing new methods, forms and procedures to protect investors and maintain market integrity; 2) interfacing with the other divisions and offices at the SEC to convey OCIE’s positions on policy; 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; and 3) the management of the examiners in the headquarters office program, including special examinations and sweeps; and short-term studies, surveys and examinations to detect trends or keep abreast of problem areas; and international examinations.  

   

  • Additional Duty Location Info

    1 vacancies in the following locations

    • Los Angeles, CA United States
    • Chicago Metro Area, IL United States
    • Atlanta, GA United States
    • Fort Worth, TX United States
    • Miami, FL United States
    • San Francisco, CA United States
    • Boston Metro Area, MA United States
    • Washington DC Metro Area, DC United States
    • Salt Lake City, UT United States
    • New York, NY United States
    • Denver, CO United States
    • Philadelphia Metro Area, PA United States