SENIOR OFFICER-ASSOCIATE DIRECTOR

Summary The Division of Examinations (Exams) is seeking to fill the position of Associate Director in the Office of Investment Advisers and Investment Company Examinations (IA/IC). This position is located in Miami, FL and is open to the public Learn more about this agency Duties The Division of Examinations (Exams) is seeking to fill the role of Associate Director within the Office of Investment Adviser and Investment Company Examinations (IA/IC). This leadership position is based in the Miami Regional Office, which oversees examination activity across Florida, Louisiana, Mississippi, Puerto Rico, and the U.S. Virgin Islands. The Associate Director plays a critical role in shaping and implementing the Division's examination strategy for registrants in the MIRO area of responsibility. 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 MIRO area of responsibility. Typical duties include: Supervising the IA/IC staff in the Miami 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 SEC's 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. 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 PROBATIONARY PERIOD: This appointment may require completion of a two-year supervisory probationary 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 examinations of broker-dealers, transfer agents, investment companies, investment advisers and self-regulatory organizations; Assessing the compliance, activities and risks of registered securities firms in the region; Providing assistance and information to securities firms and to investors in the region; Managing a team or group that conducts examinations or audits of financial or securities firms; and Providing information and/or assistance to enforcement staff 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.