Assistant Director

Summary The Division of Examinations is seeking a Supervisory Securities Compliance Examiner (Assistant Director), SK-1831-17 in the Office of FINRA and Securities Industry Oversight (FSIO). As an Assistant Director, you will join a well-respected team that is responsible for supporting EXAMS' mission to conduct and coordinate the examination program for certain SROs over which the Commission has regulatory authority. Responsibilities 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 examination program for certain SROs over which the Commission has regulatory authority. In this role as a Assistant Director, you will be responsible for: Planning and assigning work, advise 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; Directing staff performing extensive and extremely complex inspections or examinations, working with the field offices, reviewing reports and recommendations; Providing 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; Providing 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 Representing 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. Requirements Conditions of Employment Qualifications Time-in-grade for this announcement is one year at the GS/SK-14 level. Applicants are responsible for confirming all required materials are submitted by the closing date of the announcement. Please check the How You 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-17: Applicant must have at least one year of specialized experience equivalent to the GS/SK-14 level . Specialized experience includes: Conducting compliance inspections and, examinations, of self regulatory organizations ("SROs") or broker-dealers; AND Leading teams of staff with varying backgrounds (e.g., legal, accounting, examining); AND identifying emerging risks and issues affecting SROs or broker-dealers.. 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: Critical Thinking: Considers a variety of factors, general and subject matter-specific, when making decisions and determining next steps in a case. Competency 3: Managing Information: Ability to ensure that programs strategically utilize and share information, with some guidance. Competency 4 : Teamwork and Collaboration: Interacts with internal and external others in a manner that advances examinations and SEC goals and objectives. Education 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. The pay for current SEC employees will be determined according to the procedures specified in the agency's policy. IMPORTANT INFORMATION FOR SURPLUS OR DISPLACED FEDERAL EMPLOYEES: If you have never worked for the federal government, you are not I/CTAP eligible. To receive selection priority for this position, you must: (1) meet CTAP or ICTAP eligibility criteria; the questionnaire asks you to identify your ICTAP/CTAP eligibility (2) be rated well-qualified; and, (3) submit the appropriate documentation to support your CTAP or ICTAP eligibility. View information about I/CTAP eligibility on OPM's Career Transition Resources website. Disability Employment: For information on disability appointments, click here. Reasonable Accommodation: If you are an applicant who needs a reasonable accommodation to participate in the SEC application process due to a medical disability, please contact [email protected]. For religious-based accommodations, please contact [email protected] . Please be sure to submit your request at least 5 business days in advance of the date you need the requested accommodation. Equal Employment Opportunity (EEO) Information for SEC Job Applicants: For more information, please click here. The Fair Chance Act prohibits specific inquiries concerning an applicant's criminal or credit background unless the hiring agency has made a conditional offer of employment to the applicant. An applicant may submit a complaint, or any other information, to the agency within 30 calendar days of the date of alleged non-compliance by contacting the Legal and Policy Office in the Office of Human Resources at [email protected].