The Division of Examinations (EXAMS) Office of the Chief Counsel is seeking a Supervisory Securities Compliance Examiner (Assistant Director), SK-1831-17 and will be located in one of the listed locations.
As an Assistant Director for the Office of Compliance within EXAMS' Office of Chief Counsel, you will lead a team responsible for carrying out the duties of Compliance for the Division of Examinations.
Qualifications:
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:
SK-17: Applicant must have one year of specialized experience equivalent to the
GS/SK-14 level. Specialized experience includes:
- Briefing and facilitating discussions with management on policy and/or operational risk issues to develop policy; AND
- Developing internal policies and procedures for a financial regulatory organization or a securities-related financial institution (e.g., registered broker-dealer, investment adviser, registered investment company, registered self-regulatory organization); AND
- Leading programs or projects through proposing and defending recommendations; AND
- Supporting and working with an internal compliance program or internal supervisory control program of a financial regulatory organization or securities-related financial institution.
ACCOMPLISHMENT RECORD COMPETENCIES: Your Accomplishment Record narratives should address the following competencies. See the
How You Will Be Evaluated section below for more information:
Competency 1: Critical Thinking: Considers a variety of factors, general and subject matter-specific, when making decisions and determining next steps in a case.
Competency 2: Strategic Execution: Understand and implement SEC's and Division/Office's policies and goals, with regard to personnel or programs in their purview anticipating, identifying, and addressing the impact of internal and external environmental factors, linking them to capabilities and potential of the organization.
Competency 3: Information Gathering: Ability to gather and process large amounts of information and make connections to understand possible deficiencies.
Competency 4: Teamwork and Collaboration: Interacts with internal and external others in a manner that advances examinations and SEC goals and objectives.
Education:Employment Type: OTHER