The Broker-Dealer and Exchange Examination Program (BDX) within the Division of Examinations is hiring a Supervisory Securities Compliance Examiner in Washington, DC. This position will oversee the examinations of Self-Regulatory Organizations (SROs), PCAOB and SIPC.

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. If selected, you will join a well-respected team in the Division that is responsible for providing expert examination guidance and leadership for sensitive and complex programs, issues, and problems dealing with examination or inspection activities for areas of program emphasis such as self-regulatory organizations, broker-dealers, transfer agents, clearing agencies, investment companies, and investment advisers. As a Supervisory Securities Compliance Examiner, you will: Plan and assign work, advising 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 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.

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-17.
• PROBATIONARY PERIOD: This appointment may require completion of a two-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.
• This position is open to well-qualified surplus/displaced Federal employees (i.e. CTAP) in the local area and current SEC employees in permanent competitive service positions (i.e. status candidates).

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-14 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-17: Applicant must have at least one year of specialized experience equivalent to the GS/SK-14level: (1) Conducting compliance inspections, examinations, investigations, and/or audits of broker-dealers, clearing agencies, transfer agents, municipal advisers, investment advisers, investment companies and/or other 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.

Contacts

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