Senior Officer-Associate Director

Summary

The Division of Examinations (Exams) is seeking to fill the role of Associate Director within the Office of Investment Adviser and Investment Company Examinations (IA/IC). This leadership position is based in the Fort Worth Regional Office, which oversees examination activity across Texas, Oklahoma and Arkansas. The Associate Director plays a critical role in shaping and implementing the Division's examination strategy for registrants in the Fort Worth area of responsibility.

Duties

• The Associate Director (Exams) leads and manages the IA/IC Examination Program under the general direction of the National Associate Director(s). The incumbent serves as a senior advisor to National leadership on examination priorities, risk areas, and program strategy for registrants in the Fort Worth area of responsibility. Key responsibilities include: Supervising the IA/IC staff in the Fort Worth Regional Office. Developing, planning, and implementing policies, procedures, and guidance governing risk assessment and examinations of investment advisers and investment companies. Overseeing the execution of examination goals Engaging in high-level discussions and decision-making across all aspects of the examination program, both within the Division and across the Commission. Providing leadership and direction on complex and sensitive legal matters arising during examinations and offering authoritative legal advice related to statutes, rules, and regulatory practices within the SEC's jurisdiction. Representing the Division and the Commission at interagency working groups, industry conferences, law enforcement programs, and academic or professional events. Advising senior leadership across the Division and the Commission; collaborating with federal, state, local, and international regulatory partners; and engaging with private-sector stakeholders on matters with significant regulatory impact. Serving as a subject-matter authority on examinations of investment advisers and investment companies, including emerging risks, evolving industry practices, and market developments.

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: SO-01: Applicant must possess at least one full year of specialized experience equivalent to at least the GS-14/SK-14 level in the federal government. Specialized experience is defined as: Conducting examinations of broker-dealers, transfer agents, investment companies, investment advisers and self-regulatory organizations; Assessing the compliance, activities and risks of registered securities firms; Providing assistance and information to securities firms and to investors; Managing a team or group that conducts examinations or audits of financial or securities firms; and Providing information and/or assistance to enforcement staff with respect to possible violations of federal securities laws and regulations. ACCOMPLISHMENT RECORD COMPETENCIES: Your Accomplishment Record narratives should address the following competencies. See the How You Will Be Evaluated section below for more information: Leading the Organization: Building and supporting the organization's vision, creating strategies to achieve the vision, supporting and leading innovative and creative initiatives to meet organizational goals. Leading and Developing People: Ability to recruit, lead, develop and manage the workforce, constructively manages differences and potential conflicts between employees, building teams that meet and exceed SEC's mission, strategic plan, and goals Results Orientation: Ability to meet organizational goals by effectively managing program area, identifying and solving important problems, making sound and timely decisions, and effectively managing and sharing information. Building Coalitions: Ability to build coalitions by partnering with others to build strategic relationships, influencing and negotiating with those in sphere of influence to achieve favorable outcomes for SEC. Analysis and Risk Assessment: Analyzes information to assess an entity's level of risk for deficiencies in various focus areas. 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.

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/.