Assistant Director

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 technology focused examinations of Commission registrants.

As a Assistant Director, you will:

• Provide executive leadership and management of assigned staff and work products by maintaining and exhibiting the knowledge, insight and understanding necessary to perform technology focused exams;
• Direct staff to perform extensive and extremely complex technology focused examinations, work with other EXAMS' program areas, review reports and recommendations, provide guidance on novel questions and analyze industry trends;
• Plan and assign work, advise on program goals and objectives, make decisions on work problems and organize and monitor the flow of work to achieve the most effective results within a complex environment; and
• Represent 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.

• CITIZENSHIP: You must be a US Citizen.
• You must possess a J.D. or LL.B Degree and you must be an active member of the bar in good standing.
• SUPERVISORY TRIAL PERIOD: This appointment may require completion of a two-year supervisory trial period.
• 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.
• 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.
• 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.

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 issues related to the rules and policies of Federal securities laws and acts relating to self-regulatory exchanges, broker-dealers, or investment advisers; AND
2. Leading a team that is responsible for deploying, supporting, auditing or examining technology solutions employed in the securities markets; AND
3. Serving as an adviser to management concerning systems, networks, and software designs for potential security risks.

• Information Security and Operational Resiliency: Identifies non-compliance and deficiencies as it relates to an entity's information security and operational resiliency.
• Data Analysis: Uses data to identify possible securities violations as well as information that contributes to examinations.
• Critical Thinking: Considers a variety of factors, general and subject matter-specific, when making decisions and determining next steps in a case.
• Teamwork and Collaboration: Interacts with internal and external others in a manner that advances examinations and SEC goals and objectives.