Clarification from the agency

Current SEC employees in permanent competitive service positions (i.e. status candidates)

Videos

At the Securities and Exchange Commission (SEC), we are committed to diversity, equity, inclusion and accessibility (DEIA) and value a workforce that reflects the diverse experiences and perspectives of the communities we serve. As such, we welcome applications from qualified individuals of all backgrounds who share our commitment to public service.

The Associate Director (Exams) supervises and directs Exams' Headquarter IA/IC Examination Program under the immediate supervision of the Deputy Director(s). The incumbent advises the Exams Deputy Director(s) and/or the Exams Director with regard to the National Examination Program priorities and strategies and examinations, particularly those of off-shore registrants.

Typical duties include:

• Developing, conceiving, planning and implementing policies and guidelines affecting the risk assessment and examination of registrants.
• Implementing examination goals and addressing the impact of extraterritorial law and policy on implementation.
• Actively participating in meetings involving all aspects of examination responsibilities.
• Overseeing and administering professional legal work involved in examinations; and rendering legal advice and services with respect to questions, regulations, practices, or other matters falling within the purview of a Federal Government agency.
• Participating as a panelist on behalf of the Division of Examinations and the Commission in collaborative law enforcement programs, bar association presentations, industry conferences and meetings, law school conferences held by similar groups and associations.
• Counseling senior management staff and officials at multiple levels of SEC; senior staff of other Federal, state, local and government agencies; and private sector clients and vendors on agency matters.
• Serving as an agency authority on examinations, particularly of investment advisers and investment companies.
• Promoting the spirit and practice of diversity, and further the goals of equal employment opportunity (EEO) by taking positive steps to ensure the accomplishment of affirmative action objectives, and adherence to nondiscriminatory employment practices.

Conditions of employment

• You must be a US Citizen.
• Application procedures are specific to this vacancy announcement. Please read all the instructions carefully. Failure to follow the instructions may result in you not being considered for this position.
• Supplementary vacancies may be filled in addition to the number stated in this announcement.
• This position has promotion potential to the SO-02.
• PROBATIONARY PERIOD: This appointment may require completion of a two year supervisory/managerial probationary period.
• 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.
• This position is not in the collective bargaining unit.
• For consideration at the SO-2 level, you must currently hold a SO-2 position within the SEC.
• This position is eligible to request telework in accordance with the SEC 's telework policy.
• This position is open to current SEC employees only.

Qualifications

All qualification requirements must be met by the closing date of this announcement.

Time-in-grade for this announcement is one year at the GS/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:

SO-01: Applicant must have at least one full year of specialized experience equivalent to at least the GS/SK-14 level. Specialized experience includes the following:

1. Conducting examinations of broker-dealers, transfer agents, investment companies, investment advisers and self-regulatory organizations;
2. Assessing the compliance, activities and risks of registered securities firms;
3. Providing assistance and information to securities firms and to investors;
4. Managing a team or group that conducts examinations or audits of financial or securities firms; and
5. Providing information and/or assistance to enforcement staff with respect to possible violations of federal securities laws and regulations.

How you will be evaluated

You will be evaluated for this job based on how well you meet the qualifications above.

Your resume and supporting documentation will be used to determine whether you meet the job qualifications listed on this announcement. If you are basically qualified for this job, your resume and supporting documentation will be compared to your responses on the Occupational Questionnaire. All applicants may provide narrative responses (500 words or less per question) addressing the executive (core) and technical qualifications. After the announcement closing date, you will receive an email asking you to respond to the core and technical qualifications. You must provide your responses within the established deadline.


Core Qualifications:

1. Management Experience: Experience designing and implementing strategies which maximize employee potential and foster high ethical standards in meeting the organization's vision, mission, and goals.
2. Leading Change/Achieving Results: Experience developing and implementing an organizational vision which integrates key national and program goals, priorities, values, and other factors of that organization. Examples should include experience implementing change in their organization, exercising leadership and motivating managers to incorporate vision and strategic planning into the process.
3. Building Coalitions/Communications: Experience explaining, advocating, and expressing facts and ideas (both orally and in writing) in a convincing manner. Experience working with the press, political appointees, Congress, and other high-level organizations and staff on various types of important national issues. Experience includes working in groups and teams conducting briefings with outside groups and gaining cooperation from others to obtain information and accomplish goals.

1. Knowledge and understanding of the Securities Act of 1933, the Securities Exchange Act of 1934, the Investment Company Act of 1940, and the Investment Advisers Act of 1940.
2. Knowledge of and exposure to the operations and/or the examination of broker-dealers, transfer agents, investment advisers and investment companies.
3. Ability to analyze complex problems and devise innovative solutions.