The Office of Risk and Strategy (ORS) within the Division of Examinations is hiring a Supervisory Securities Compliance Examiner in Atlanta, GA, Boston, MA, Chicago, IL, Denver, CO, Fort Worth, TX, Los Angeles, CA, Miami, FL, New York, NY, Philadelphia, PA, Salt Lake, UT, San Francisco, CA, or Washington, DC. This position will oversee an office responsible for risk identification and data and analytical projects.

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 that is responsible for risk identification, data and analytical projects - both created within the Office of Risk Analysis and Surveillance and as part of larger Commission-wide work streams with internally created and commercially available products. As a Supervisory Securities Compliance Examiner, you will: Direct employees responsible for working and/or consulting with a variety of individuals in the conduct of legislated programs; Produce well-constructed written reports and presentations whose audience includes senior staff from across the Division and the SEC; Serve as a member or supervisor of an examination team in an audit or examination program of a federal, state or regulatory body in the securities or financial services industry; Operate or oversee examinations based on the surveillance or assessment of investment companies, investments advisers, broker dealer, SROs, clearing agencies, municipal advisors, and transfer agents and their associated persons to determine level of compliance with federal/state securities laws and regulations; Assign work, taking into account skills and abilities of the staff and monitoring work performance; Provide expert analysis and review of activities related to the federal securities law requirements for investment companies/investments advisers, broker dealer, SROs, clearing agencies, municipal advisors, and transfer agents and their associated persons; and Assist and lead in developing or enhancing existing tools, data sets and applications that assist the Division in executing its risk-based examination approach.

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.
• SUPERVISORY PROBATIONARY PERIOD: This appointment may require completion of a two-year supervisory 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 is a promotion not-to-exceed six months from date of appointment to the position.
• This appointment may be extended OR it may end at any time during the course of the appointment at the discretion of management.
• Applicants should also be available for possible extension, if needed.
• This temporary competitive promotion may lead to a permanent promotion without further competition.
• If selected, you may receive a salary increase for the duration of the temporary promotion. You will be returned to your original salary at the end of the appointment.
• If selected, you will accrue 8 hours of annual leave per pay period for the duration of the temporary promotion. You will be returned to your original annual leave accrual at the end of the appointment.
• This position is eligible to request telework in accordance with the SEC 's telework policy.
• 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 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 the GS/SK-13 level. Specialized experience includes the following: Auditing, examining, or investigating principles, techniques, and practices that involve the review and evaluation of procedures, records and practices of investment advisers; investment companies; broker-dealers; transfer agents; exchanges; clearing agencies; municipal advisors; 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; AND Identifying emerging risks and issues affecting financial institutions, market intermediaries, and participants and producing written reports.

Education

This job does not have an education qualification requirement.

Contacts

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