The Event and Emerging Risk Examination Team (EERT) is hiring a Supervisory Securities Compliance Examiner. The position will oversee a team responsible for working with key stakeholders to develop strategic theme and event-based analyses to identify and address exigent threats, incidents, and emerging risks through examinations.

Duties

At the Securities and Exchange Commission (SEC), we are committed to diversity, equity, inclusion and accessibility (DEIA) and value a workforce that reflects the diverse experiences and perspectives of the communities we serve. As such, we welcome applications from qualified individuals of all backgrounds who share our commitment to public service. This position is in the Event and Emerging Risk Examination Team (EERT) within the Division of Examinations. The EERT is a dedicated, multi-disciplinary team of specialized examiners and industry experts recruited internally from the SEC, and from the financial services industry to help the Division deal with situations precipitated by exigent threats, including incidents that could have a systemic impact or place substantial investor assets at risk. The EERT works with key stakeholders to develop strategic theme and event-based analyses to identify and address exigent threats, incidents, and emerging risks through examinations. As a Supervisory Securities Compliance Examiner, you will: Direct employees responsible for working and/or consulting with a variety of individuals conducting examinations and outreach of registered investment advisers, investment companies, broker-dealers, and private fund managers; and conducting interviews of compliance professionals; Identify and address exigent threats, incidents, and emerging risks through the conduct of examinations and inspections, firm engagement meetings, outreach, research and monitoring activities; Plan and conduct examinations, developing reports of findings, communicating verbally in meetings, drafting detailed findings in reports, and providing advice and recommendations for complex examinations; Provide technical advice and leadership in the areas of registrant operations, evaluating internal control processes, performing complex and difficult assignments supporting the mission of the Division of Examinations; Perform human resource management and administrative functions, relative to the staff supervised, including: hiring and retaining staff, allocating work assignments, providing regular performance feedback and conducting performance evaluations, mentoring and training of staff; Ensure established policies, procedures and expectations are communicated, understood, and followed by staff, which may include attorneys, securities examiners, accountants, and others; and Carry out Equal Employment Opportunity (EEO) policies, program, and diversity activities.

Requirements

• 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.
• This position has promotion potential to the SK-15.
• PROBATIONARY PERIOD: This appointment may require completion of a one-year probationary 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.
• 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.
• This position is eligible to request telework in accordance with the SEC 's telework policy.
• Existing Participants in the SEC?s Remote Telework Program are eligible to apply for this position. If selected, management will evaluate and communicate whether the position will allow for continued participation in Remote Telework.
• 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

All qualification requirements must be met by the closing date of this announcement. Time-in-grade for this announcement is one year at the GS/SK-13 level. 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. MINIMUM QUALIFICATION REQUIREMENT: SK-15: Applicant must have at least one year of specialized experience equivalent to at least the GS/SK-13 level: Auditing, examining, or investigating principles, techniques, and practices that involve the review and evaluation of procedures, records and practices of registered clearing agencies; exchanges; broker-dealers; investment advisers; investment companies; transfer agents; private equity and hedge funds; and/or other registered entities; AND Preparing reports of findings; and/or leading teams of staff with varying backgrounds (e.g., legal, accounting, examining) and experience.

Contacts

• Address Division of Examinations 100 F Street NE Washington, DC 20549 US
• Name: ask HR
• Email: [email protected]