SENIOR OFFICER-DEPUTY DIRECTOR

Summary The Division of Examinations (Exams) is seeking to fill the position of Senior Officer-Deputy Director. This position may be located in Atlanta, GA, Boston, MA, Chicago, IL, Denver, CO, Fort Worth, TX, Los Angeles, CA, Miami, FL, New York, NY, Philadelphia, PA, San Francisco, CA, or Washington, DC. This position is open to the public. Learn more about this agency Duties As the Deputy Director of the Division of Examinations (EXAMS), the incumbent will assist the Director to achieve the Division's mission to promote compliance of the U.S. securities laws (including but not limited to the Securities Act of 1933 and the Securities Exchange Act of 1934), prevent fraud, monitor risk, and inform SEC policy through examinations of registrants subject to U.S. securities laws and the regulations promulgated thereunder. Duties Allocate resources and personnel across programs, offices, and regions; oversee workloads, assess capacity, and direct adjustments to ensure timeliness, quality, and effective risk coverage. Evaluate and refine operational processes to improve efficiency, reduce redundancies, and ensure the Division's structure supports mission delivery. Manage significant operational and policy portfolios, including cross-program initiatives, enterprise-level processes, and major priority workflows. Participate in the conception, development, planning, and implementation of policies, guidance, and procedures affecting Examination programs. Supervise the formulation and execution of the Division's budget. Coordinate EXAMS activities with other SEC divisions and offices to ensure integrated policy approaches, consistent risk assessment, and effective inter-office collaboration. Represent EXAMS in high-level internal and external engagements, including Commission briefings, leadership forums, interagency collaborations, and external stakeholder meetings. Contribute to the formulation of the Division's and Commission's policy views for testimony, hearings, and legislative proposals before Congress. Assign work to subordinate offices/programs and ensure performance accountability and alignment with Division objectives and Commission priorities. Requirements Conditions of employment 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 and may be filled from any division or office within the agency. This position has promotion potential to the SO-02. PROBATIONARY PERIOD: This appointment may require completion of a one-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. SUPERVISORY TRIAL PERIOD: This appointment may require completion of a two-year supervisory trial period. SELECTIVE SERVICE: Males born after 12/31/59 must be registered or exempt from Selective Service (see https://www.sss.gov/). Qualifications All qualification requirements must be met by the closing date of this announcement. 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. Applicants are responsible for confirming all required materials are submitted by the deadline. 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. MINIMUM QUALIFICATION REQUIREMENT: SO-01: Applicant must have at least one year of specialized experience equivalent to the GS/SK-14 level: Conducting, overseeing or supporting examinations of broker-dealers, transfer agents, investment companies, investment advisers and self-regulatory organizations; Assessing the compliance, activities and risks of registered securities firms; Providing assistance and information to securities firms and to investors; Managing a team or group that conducts, oversees or supports examinations or audits of financial or securities firms; and Providing information and/or assistance with respect to possible violations of federal securities laws and regulations. ACCOMPLISHMENT RECORD COMPETENCIES: Your Accomplishment Record narratives should address the following competencies. See the How You Will Be Evaluated section below for more information: Leading the Organization: Build and support the organization's vision, create strategies to achieve the vision, support and lead innovative and creative initiatives to meet organizational goals. Leading and Developing People: Recruit, lead, develop and manage the workforce, constructively manages differences and potential conflicts between employees, building teams that meet and exceed an organization's mission, strategic plan, and goals. Results Orientation: Meet organizational goals by effectively managing program area, identifying and solving important problems, making sound and timely decisions, and effectively managing and sharing information. Building Coalitions: Build coalitions by partnering with others to build strategic relationships, influencing and negotiating with those in sphere of influence to achieve favorable outcomes for an organization. Analysis and Risk Assessment: Analyze information to assess an entity's level of risk for deficiencies in various focus areas. Exam work: Conduct exam work activities (whether onsite, correspondence, etc.) in a professional manner to procure information from an entity under examination. Critical Thinking: Consider a variety of factors, general and subject matter-specific, when making decisions and determining next steps in a case. Additional information SEC COMPENSATION PROGRAM: The overall salary range listed above is provided for informational purposes as it represents the full range that is applicable to current employees in this occupation/grade; however, a selectee's initial pay is always set below the maximum rate of the range. Please click here for additional information. IMPORTANT INFORMATION FOR SURPLUS OR DISPLACED FEDERAL EMPLOYEES: If you have never worked for the federal government, you are not I/CTAP eligible. To receive selection priority for this position, you must: (1) meet CTAP or ICTAP eligibility criteria; the questionnaire asks you to identify your ICTAP/CTAP eligibility (2) be rated well-qualified; and, (3) submit the appropriate documentation to support your CTAP or ICTAP eligibility. View information about I/CTAP eligibility on OPM's Career Transition Resources website. Reasonable Accommodation: If you are an applicant who needs a reasonable accommodation to participate in the SEC application process due to a medical disability, please contact [email protected]. For religious-based accommodations, please contact [email protected] . Please be sure to submit your request at least 5 business days in advance of the date you need the requested accommodation. Equal Employment Opportunity (EEO) Information for SEC Job Applicants: Federal EEO laws protect all applicants from discrimination on the following bases: race, color, religion, sex, pregnancy, national origin, political affiliation, sexual orientation, marital status, disability, genetic information, age, membership in an employee organization, retaliation, parental status, military service or other non-merit factor. Applicants who believe they have been discriminated against on any EEO basis can seek recourse through the SEC's administrative complaints process. To be timely, an individual must enter the EEO process within 45 days from when they know (or should have known) of the alleged discrimination. Click here for additional information. The Fair Chance Act prohibits specific inquiries concerning an applicant's criminal or credit background unless the hiring agency has made a conditional offer of employment to the applicant. An applicant may submit a complaint, or any other information, to the agency within 30 calendar days of the date of alleged non-compliance by contacting the Legal and Policy Office in the Office of Human Resources at [email protected]. Expand Hide  additional information Candidates should be committed to improving the efficiency of the Federal government, passionate about the ideals of our American republic, and committed to upholding the rule of law and the United States Constitution. Benefits A career with the U.S. government provides employees with a comprehensive benefits package. As a federal employee, you and your family will have access to a range of benefits that are designed to make your federal career very rewarding. Opens in a new windowLearn more about federal benefits. Review our benefits Eligibility for benefits depends on the type of position you hold and whether your position is full-time, part-time or intermittent. Contact the hiring agency for more information on the specific benefits offered.