SENIOR OFFICER-ASSOCIATE DIRECTOR

The Division of Examinations (Exams) is seeking to fill the position of Associate Director in the Office of Investment Advisers and Investment Company Examinations (IA/IC). This position is located in Philadelphia, PA and is open to current SEC employees in the Division of Examinations with a Philadelphia, PA duty station.

Duties

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

Typical duties include:

1. Developing, conceiving, planning and implementing policies and guidelines affecting the risk assessment and examination of registrants.
2. Implementing examination goals and addressing the impact of extraterritorial law and policy on implementation.
3. Actively participating in meetings involving all aspects of examination responsibilities.
4. 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.
5. Participating as a panelist on behalf of the Division of Examination and the Commission in collaborative law enforcement programs, bar association presentations, industry conferences and meetings, law school conferences held by similar groups and associations.
6. 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.
7. Serving as an agency authority on examinations, particularly of investment advisers and investment companies.

Salary

• $205,772 - $312,357/year

Conditions of Employment

• You must possess a J.D. or LL.B Degree.
• You must be an active member of the bar in good standing.
• CITIZENSHIP: 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 and may be filled from any division or office within the agency.
• This position has promotion potential to the SO-02.
• 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.
• 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.
• This position is open to current SEC employees in the Division of Examinations only.
• TRIAL PERIOD: This appointment may require completion of a two year supervisory/managerial trial period.

Qualifications

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

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.

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.

• SO-01: Applicant must have four year(s) of post J.D. work experience as a practicing attorney, three years of which 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.

Education 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 and such education has been deemed equivalent to that gained in an accredited U.S. education program; or full credit has been given for the courses at a U.S. accredited college or university. For further information, visit: http://www.ed.gov/about/offices/list/ous/international/usnei/us/edlite-visitus-forrecog.html Official Transcripts will be required at the time of appointment to verify educational eligibility. Other Information SEC COMPENSATION PROGRAM: The overall salary range listed above is provided for informational purposes as it represents the full range that is applicable to current employees in this occupation/grade; however, a selectee's initial pay is always set below the maximum rate of the range. Please click here for additional information. Disability Employment: For information on disability appointments, please visit http://www.opm.gov/policy-data-oversight/disability-employment/ Reasonable Accommodation: If you are an applicant who needs a reasonable accommodation for disability to participate in the application process at the SEC, submit the form for Reasonable Accommodation for Participation in Job Application Process here. 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: Federal EEO laws protect all applicants from discrimination on the following bases: race, color, religion, sex, pregnancy, national origin, political affiliation, sexual orientation, marital status, disability, genetic information, age, membership in an employee organization, retaliation, parental status, military service or other non-merit factor. Applicants who believe they have been discriminated against on any EEO basis can seek recourse through the SEC's administrative complaints process. To be timely, an individual must enter the EEO process within 45 days from when they know (or should have known) of the alleged discrimination. Click here for additional information. 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 Eligibility Questionnaire.
• Required: Resume - To meet the minimum qualification requirements for this position, you must show that you possess the specialized experience related to this position Your resume should highlight the competencies required for the position and include examples of experience, education, and accomplishments applicable to the qualification(s) and include specific employment dates (month and year and start and ends dates) and differentiate between full-time and part-time work. To help ensure the resume review fully credits your relevant experience, we recommend clearly referencing the competency and specialized experience demonstrated in each position or example you include in your resume. If your resume does not reflect demonstrated evidence of these qualifications, you may not receive consideration for the position. No additional documentation will be accepted after the deadline. Note: your resume must NOT contain pictures. For external candidates: Information on how your resume will be used for pay setting purposes can be found here. If you are a current SEC employee selected for this position, the standard percentage increases will be applied (i.e., 6% for non-supervisory and 10% for supervisory positions) if your selection results in a promotion. If your selection results in lateral movement (i.e. no change in grade) you will maintain your current salary. If your selection results in a change in grade from an SK-15 to an SK-16 you will maintain your current salary.
• Required, if applicable: Veteran's documentation (DD-214, member 4 copy or other documentation containing dates of service and character of discharge.)

How to Apply

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

A complete application package must be submitted by 11:59 PM (EST) on the closing date of the announcement to receive consideration.

• 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/.