The Office of Security-Based Swaps (OSBS) within the Division of Examinations (Exams) is filling one position for a Supervisory Securities Compliance Examiner, SK-1831-17 in one of the following locations: Chicago, IL; Washington, DC; or New York, NY.

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. The mission of the Division of Examinations is to protect investors, ensure market integrity and support responsible capital formation through risk-focused strategies that: (1) improve compliance; (2) prevent fraud; (3) monitor risk; and (4) inform policy. The results of the Division's examinations are used by the SEC to inform rule-making initiatives, identify and monitor risks, improve industry practices and pursue misconduct. If selected, you will join a well-respected team that is responsible for supporting EXAMS' mission to conduct and coordinate the nationwide examination program for entities over which the Commission has regulatory authority. As a Supervisory Securities Compliance Examiner ("SSCE"), you will: Provide leadership in market monitoring and trade surveillance of registered Securities-Based Swaps (SBS) entities. Incorporate market and regulatory changes into market monitoring and trade surveillance activities. Maintain up to date knowledge and understanding of current concerns related to SBS and brief senior management and others at the Commission on such issues; Design, develop, and maintain a best-in-class SBS examination and market monitoring and trade surveillance program as part of the SBS Joint Venture with other Divisions within the SEC; Plan, coordinate, and monitor the activities and function of the Joint Venture staff in their execution of SBS examinations and market monitoring and trade surveillance activities; Plan and assign work, advise on program goals and objectives, make decisions on work problems, and organize and monitor the flow of work in order to achieve the most effective results in a complex environment; Oversee the implementation plan of the working group for Title VII, providing legal and technical supervision necessary for accomplishing the work of the SBS Joint Venture; Facilitate and maintain relationships with other EXAMS programs, Division of Trading and Markets (TM), Division of Enforcement (ENF), Division of Economic Research Analysis (DERA), Office of International Affairs (OIA), and Office of the Chief Data Officer (CDO) and other securities regulators on matters involving Title VII implementation, generally; and Represent the Joint Venture and EXAMS in meetings and conferences where policy formulation and program planning are discussed and agency positions are developed.

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.
• 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 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 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-14 level: Conducting compliance inspections, examinations, investigations, and/or audits of broker-dealers, clearing agencies, transfer agents, municipal advisers, investment advisers, investment companies, security -based swap dealers, self-regulatory organizations, or involved in the policy making effecting security-based swap dealers; Leading teams of staff with varying backgrounds (e.g., legal, accounting, examining); AND Identifying emerging risks and issues affecting financial institutions.

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]