Assistant Director

The Division of Examinations (EXAMS), Office of the Chief Counsel is seeking a Supervisory Attorney Adviser (Assistant Director), SK-0905-17 and will be located in one of the listed locations. As an Assistant Director for the Office of Compliance within EXAMS' Office of Chief Counsel, you will lead a team responsible for carrying out the duties of Compliance for the Division of Examinations.

Duties

In this role as an Assistant Director, you will be responsible for:

• Serving as senior manager directing and managing the Compliance Group, including assessing policy, program, and project feasibility and determining and implementing compliance and operational-risk related program goals;
• Planning and assigning work to members of the Compliance Group and evaluating such work, advising on program goals and objectives, making decisions on work problems, and organizing and monitoring the flow of work for the group in order to achieve the most effective results within a complex environment;
• Supervising the development and implementation of policy regarding the examination process as well as periodic reviews of examination policies and procedures;
• Planning, formulating, and executing compliance oversight for the examination program through ongoing monitoring, testing, and ad hoc reviews to help ensure compliance with Division policies and procedures and to foster consistency in approach and application of exam policy across the examination program;
• Leading EXAMS's program for identifying, assessing and mitigating operational risk and represent EXAMS in agency-wide operational risk initiatives;
• Managing the management assurance process and the assessment process to comply with Section 961 of the Dodd-Frank Wall Street Reform and Consumer Protect Act;
• Presenting to EXAMS senior management on a periodic basis regarding compliance matters; and
• Developing and executing a training program and communication strategy for examination staff on policies and procedures.

Salary

• $171,304 - $292,300/year

Conditions of Employment

• CITIZENSHIP: You must be a US Citizen.
• SELECTIVE SERVICE: Males born after 12/31/59 must be registered or exempt from Selective Service (see https://www.sss.gov/).
• 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.
• TRIAL PERIOD: Consistent with 5 U.S.C. § 7511, you will be required to serve a two-year trial period (one year for preference eligible veterans) if the position to which you have applied is not the same or similar to your current position of record.
• SUPERVISORY TRIAL PERIOD: This appointment may require completion of a two year supervisory/managerial trial period.
• You must possess a J.D. or LL.B Degree and you must be an active member of the bar in good standing.
• The selectee is required to report to the duty station(s) listed.
• Typical Examiner Travel: Examination staff routinely travel to the offices of registered entities to conduct on-site inspections of facilities, to meet with and interview entity personnel, and to examine certain business records.

Qualifications

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. Qualifying education must have been obtained from an accredited college or university recognized by the U.S. Department of Education. All qualification requirements must be met by the closing date of this announcement.

BASIC REQUIREMENT: All applicants must possess the following

• J.D. or LL.B. degree --AND--
• Active membership of the bar in good standing in any state, territory of the United States, the District of Columbia, or the commonwealth of Puerto Rico. (Note: proof of bar membership will be required before entry on duty.

MINIMUM QUALIFICATION REQUIREMENT: In addition to meeting the basic requirement, applicants must also meet the minimum qualification requirement.
SK-17: Applicant must have one year of specialized experience equivalent to the GS/SK-14 level. Specialized experience includes:

1. Providing legal advice on federal securities laws and compliance issues as they relate to securities-related financial institutions, such as broker-dealers, clearing agencies, transfer agents, municipal advisers, investment advisers, investment companies, security-based swap dealers, private funds or self-regulatory organizations; AND
2. Briefing and facilitating discussions with management on policy and/or operational risk issues to develop policy; AND
3. Developing internal policies and procedures for a financial regulatory organization or a securities-related financial institution (e.g., registered broker-dealer, investment adviser, registered investment company, registered self-regulatory organization); AND
4. Supporting and working with an internal compliance program or internal supervisory control program of a financial regulatory organization or securities-related financial institution.

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: Critical Thinking: Considers a variety of factors, general and subject matter-specific, when making decisions and determining next steps in a case.

Competency 2: Strategic Execution: Understand and implement SEC's and Division/Office's policies and goals, with regard to personnel or programs in their purview anticipating, identifying, and addressing the impact of internal and external environmental factors, linking them to capabilities and potential of the organization.

Competency 3: Information Gathering: Ability to gather and process large amounts of information and make connections to understand possible deficiencies.

Competency 4: Teamwork and Collaboration: Interacts with internal and external others in a manner that advances examinations and SEC goals and objectives.

Education You MUST provide transcripts or other documentation to support your educational claims. Unless otherwise stated: (1) official or unofficial transcripts are acceptable, or (2) you may submit a list with all your courses, grades, semester, year, and credit for the course. If you are qualifying for this position by substituting education or training for experience, you must submit a copy of your unofficial transcripts or equivalent by the closing date of the announcement. Qualifying education must have been obtained from an accredited college or university recognized by the U.S. Department of Education. Internal Applicants: OHR will verify education qualifications for internal applicants using documents in the Electronic Official Personnel Folder (eOPF). If required transcripts or certificates are not present in your eOPF, you will be required to provide them to OHR. If selected, a start date will not be established until official transcripts are received. FOREIGN EDUCATION: If you are using education completed in foreign colleges or universities to meet the qualification requirements, you must show the education credentials have been evaluated by a private organization that specializes in interpretation of foreign education programs. For more information, click here. Applicants may also find the following helpful: National Association of Credential Evaluation Services (NACES) is an association of 19 credential evaluation services with admission standards and an enforced code of good practice. Association of International Credentials Evaluators (AICE) is an association of 10 credential evaluation services with a board of advisors and an enforced code of ethics. Other 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: Career Transition Assistance Plan (CTAP) is available to individuals who have special priority selection rights under this plan. Individuals must be minimally qualified for this position to receive consideration for special priority selection. CTAP eligibles will be considered minimally qualified if they meet the minimum requirements for this position. 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 reasonableaccommodation@sec.gov. For religious-based accommodations, please contact religiousaccommodation@sec.gov . 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 ElliottT@sec.gov. Required Documents

You must provide a complete Application Package, which includes:

• Required: Your responses to the Questionnaire.
• Required: Resume - Resumes should include relevant work experience, with specific employment dates, that demonstrates qualifications for the specialized experience and competencies as outlined above. If your resume does not reflect demonstrated evidence of these qualifications, you may not receive consideration for the position. Resumes that exceed two pages will be deemed ineligible and receive no further consideration. For resume writing tips, visit USAJOBS and the SEC careers page.

SEC EMPLOYEES: OHR will verify your eligibility via the SEC's personnel database.

How to Apply

To apply for this position, you must complete the online application and submit the documentation specified in the Required Documents.

A complete application package must be submitted by 11:59 PM (EST) on the closing date of the announcement to receive consideration. No additional documentation will be accepted after the closing date of the announcement.

• To begin, click Apply to access the online application. You will need to be logged into your USAJOBS account to apply. If you do not have a USAJOBS account, you will need to create one before beginning the application.
• Follow the prompts to select your resume and/or other supporting documents to be included with your application package. You will have the opportunity to upload additional documents to include in your application before it is submitted. Your uploaded documents may take several hours to clear the virus scan process.
• After acknowledging you have reviewed your application package, complete the Include Personal Information section as you deem appropriate and click to continue with the application process.
• You will be taken to the online application which you must complete in order to apply for the position. Complete the online application, verify the required documentation is included with your application package, and submit the application.

To verify the status of your application, log into your USAJOBS account (https://my.usajobs.gov/Account/Login), all of your applications will appear on the Welcome screen. The Application Status will appear along with the date your application was last updated. For information on what each Application Status means, visit: https://www.usajobs.gov/Help/how-to/application/status/.