Supervisory Securities Compliance Examiner

US Government Other Agencies And Independent Organizations Washington , DC 20319

Posted 1 week ago

  • Duties

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Duties

Summary

The Private Funds Unit (PFU) within the Division of Examinations is filling one Supervisory Securities Compliance Examiner, SK-1831-17 position inthe following locations: Atlanta, GA; Boston, MA; Chicago, IL; Denver, CO; Ft Worth, TX; Los Angeles, CA; Miami, FL; Philadelphia, PA; New York, NY; San Francisco, CA; Salt Lake, UT or Washington, DC.

Learn more about this agency

Responsibilities

The Division of Examinations conducts the SEC's National Exam Program. The Division's mission 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 Supervisory Securities Compliance Examiner, you will:

  • Direct the work of the assigned office through subordinate supervisors. Exercising delegated supervisory authority in the establishment and issuance of technical and administrative guidance;

  • Plan and assign work, advising on program goals and objectives, making decisions on work problems, and organizing and monitoring the flow of work for the assigned programs in order to achieve the most effective results within a complex environment;

  • Direct staff performing extensive and extremely complex inspections or examinations of investment advisers to private funds, and reviewing reports and recommendations;

  • Provide advice on novel questions, analyzing industry trends, and following-up to ensure that recommendations are implemented by the industry;

  • Attend and participate in meetings and conferences where crucial policy formulation, procedural development, and program planning matters are discussed and agency positions developed;

  • Provide executive leadership and management of the staff and work products by maintaining and exhibiting knowledge, insight, and understanding of the assigned specialized segment of the market; monitoring new or unchartered marketing or financial techniques and developments that impacts SEC decisions; and

  • Represent the agency in high level meetings, conferences, and presentations involving a wide range of participants such as regulatory or law enforcement agencies; state, local, national, or international government offices; private industry; and the academic community.

Travel Required

Occasional travel - Travel averages 5 days a month.

Supervisory status

Yes

Promotion Potential

17

  • Job family (Series)

1831 Securities Compliance Examining

  • Requirements

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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.

  • 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.

  • Due to COVID-19, the SEC is currently in a mandatory telework posture. 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/SK14 level: Specialized experience includes the following:

  • Conducting inspections, examinations, investigations, audits, or internal reviews of federally-regulated investment advisers, including advisers to private funds, for compliance with relevant laws and regulations; AND
  • Leading teams of staff with varying backgrounds (e.g., legal, accounting, examining); AND
  • Identifying emerging risks and issues affecting investment advisers, including advisers to private funds.

Education

This job does not have an education qualification requirement.

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Supervisory Securities Compliance Examiner

US Government Other Agencies And Independent Organizations