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 the nationwide examination program for entities over which the Commission has regulatory authority.

As a Assistant Director, you will:

• Plan and assign 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;
• Direct staff performing extensive and extremely complex inspections or examinations, working with the field offices, reviewing reports and recommendations;
• Provide advice on novel questions, analyzing industry trends, and following-up to ensure that recommendations are implemented by the industry;Attend and participate, in the capacity of legal adviser and counselor, in meetings and conferences where crucial policy formulation, procedural development, and program planning matters are discussed and agency positions developed;
• Provide 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
• 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.
• SELECTIVE SERVICE: Males born after 12/31/59 must be registered or exempt from Selective Service (see https://www.sss.gov/).
• SUPERVISORY TRIAL PERIOD: This appointment may require completion of a two-year supervisory trial 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.
• 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.
• 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 choosin

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.

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. Leading teams of staff with varying backgrounds (e.g., legal, accounting, examining); AND
3. Identifying emerging risks and issues affecting financial institutions.

ACCOMPLISHMENT RECORD COMPETENCIES: Your Accomplishment Record narratives should address the following competencies. See the How You Will Be Evaluated section below for more information:

• Examwork: Effectively conducts examwork activities (whether onsite, correspondence, etc.) in a professional manner to procure information from an entity under examination.
• Critical Thinking: Considers a variety of factors, general and subject matter-specific, when making decisions and determining next steps in a case.
• Managing Information (core): Ability to ensure that programs strategically utilize and share information, with some guidance.
• Teamwork and Collaboration: Interacts with internal and external others in a manner that advances examinations and SEC goals and objectives.