Senior Officer-Associate Director

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 SECs 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.

• CITZENSHIP: You must be a US Citizen.
• SELECTIVE SERVICE: Males born after 12/31/59 must be registered or exempt from Selective Service (see 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.
• SUPERVISORY PROBATIONARY PERIOD: This appointment may require completion of a two year supervisory/managerial probationary period.
• PROBATIONARY PERIOD: This appointment may require completion of a one-year probationary period.
• The selectee is required to report to the duty station(s) listed.

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:

1. Conducting examinations of broker-dealers transfer agents investment companies investment advisers and self-regulatory organizations;
2. Assessing the compliance activities and risks of registered securities firms;
3. Providing assistance and information to securities firms and to investors;
4. Managing a team or group that conducts examinations or audits of financial or securities firms; and
5. Providing information and/or assistance to enforcement staff with respect to possible violations of federal securities laws and regulations.

1. Leading the Organization: Building and supporting the organizations vision creating strategies to achieve the vision supporting and leading innovative and creative initiatives to meet organizational goals.
2. 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 SECs mission strategic plan and goals
3. 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.
4. 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.
5. Analysis and Risk Assessment: Analyzes information to assess an entitys level of risk for deficiencies in various focus areas.
6. Examwork: Effectively conducts examwork activities (whether onsite correspondence etc.) in a professional manner to procure information from an entity under examination.
7. Critical Thinking: Considers a variety of factors general and subject matter-specific when making decisions and determining next steps in a case.