SENIOR OFFICER-ACTING ASSOCIATE DIRECTOR Job in Philadelphia, PA

Vacancy No. 25-12755723-TMP Department Securities and Exchange Commission
Salary $205,772.00 to $312,357.00 Grade 1 to 1
Perm/Temp Temporary FT/PT Full-time
Open Date 7/3/2025 Close Date 7/10/2025
Job Link Apply Online Who may apply Status Candidates
Locations:
Philadelphia, PA


Summary

The Division of Examinations (EXAMS) is seeking applicants for a temporary promotion for 120 days as the Acting Associate Director for the Investment Advisers/Investment Company Examination Program (IA/IC) located in Philadelphia, PA. The selected applicant will be temporarily promoted to the Senior Officer position for 120 days.

This job is open to

Clarification from the agency

Current SEC-Division of Examinations employees, in permanent competitive service positions (i.e. status candidates), with a Philadelphia duty station.

Duties

The Division of Examinations (EXAMS) is seeking to fill the position of Acting Associate Director for the Investment Adviser and Investment Company Examinations Program (IA/IC). This program is located in Philadelphia and is open to current EXAMS employees with a Philadelphia duty station.

Duties
The Acting Associate Director (EXAMS) supervises and directs Exams' IA/IC Examination Program under the immediate supervision of the National Associate Directors of IAIC. The incumbent advises the Exams National Associate Directors(s) and/or the Exams Director with regard to the Exams priorities, strategies and examinations.

Typical duties include:

  • Developing, conceiving, planning and implementing policies and guidelines affecting the risk assessment and examination of registrants.
  • Implementing examination goals and addressing the impact of extraterritorial law and policy on implementation.
  • Actively participating in meetings involving all aspects of examination responsibilities.
  • Overseeing and administering professional legal work involved in examinations; and rendering legal advice and services with respect to questions, regulations, practices, or other matters falling within the purview of a Federal Government agency.
  • Participating as a panelist on behalf of the Division of Examination and the Commission in collaborative law enforcement programs, bar association presentations, industry conferences and meetings, law school conferences held by similar groups and associations.
  • Counseling senior management staff and officials at multiple levels of SEC; senior staff of other Federal, state, local and government agencies; and private sector clients and vendors on agency matters.
  • Serving as an agency authority on examinations, particularly of investment advisers and investment companies.

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 SO-02.
  • DRUG TESTING: This position may be subjected to drug testing requirements.
  • PERMANENT CHANGE OF STATION (PCS): Moving/Relocation expenses are not authorized.
  • This position is not in the collective bargaining unit.
  • For consideration at the SO-2 level, you must currently hold a SO-2 position within the SEC.
  • This temporary promotion may be extended OR it may end at any time during the course of the assignment at the discretion of management.
  • This temporary promotion will not lead to a permanent appointment.

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:

SO-01: Applicant must have at least one year of specialized experience equivalent to the GS/SK-14 level. Specialized experience includes the following:
  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 in the region;
  3. Providing assistance and information to securities firms and to investors in the region;
  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.

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.

Disability Employment: For information on disability appointments, please visit http://www.opm.gov/policy-data-oversight/disability-employment/

*SEC EMPLOYEES: OHR will verify your competitive service eligibility via the SEC's personnel database.

Reasonable Accommodation: If you are an applicant who needs a reasonable accommodation for disability to participate in the application process at the SEC, submit the form for Reasonable Accommodation for Participation in Job Application Process here. 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 ElliottT@sec.gov.

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.

How You Will Be Evaluated

You will be evaluated for this job based on how well you meet the qualifications above.

Your resume will be used to determine whether you meet the job qualifications listed on this announcement. If you are basically qualified for this job, your resume will be compared to your responses on the Occupational Questionnaire.

You will be rated on the following SEC SO Competencies/Technical Qualifications:

SEC SO Competencies:

  1. Leading the Organization: involves building and supporting the organization's vision, creating strategies to achieve the vision, supporting and leading innovative and creative initiatives to meet organizational goals.
  2. Leading and Developing People: involves the ability to recruit, lead, develop and manage the workforce, constructively manages differences and potential conflicts between employees, building teams that meet and exceed SEC's mission, strategic plan, and goals.
  3. Results Orientation: involves the 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: involves the 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.
Technical Qualifications:
  1. Knowledge and understanding of the Securities Act of 1933, the Securities Exchange Act of 1934, the Investment Company Act of 1940, and the Investment Advisers Act of 1940.
  2. Knowledge of and exposure to the operations and/or the examination of broker-dealers, transfer agents, investment advisers and investment companies.
  3. Ability to analyze complex problems and devise innovative solutions.

The Assessment Questionnaire will take you approximately 20 minutes to complete. To preview the Assessment Questionnaire, click the following link https://apply.usastaffing.gov/ViewQuestionnaire/12755723.

Required Documents

You must provide a complete Application Package, which includes:

  • Required: Your responses to the Occupational Questionnaire.
  • Required: Your complete and comprehensive resume that includes a complete history of your work experience and the applicable employment dates with months and years. If you are a current Federal employee, it is recommended that your resume include the title, series, and grade (e.g. SK-0301-15) for all relevant Federal experience. To determine if you qualify for this position, OHR will review your work history that is relevant to the specific position for which you applied.If you are a current SEC employee selected for this position, the standard percentage increases will be applied (i.e., up to 10% for managerial positions) if your selection results in a promotion. If your selection results in lateral movement (i.e. no change in grade) you will maintain your current salary. Note: Your resume must directly address the definition of specialized experience listed in the qualification section of this announcement and must NOT contain pictures.

If you are relying on your education to meet qualification requirements:

Education must be accredited by an accrediting institution recognized by the U.S. Department of Education in order for it to be credited towards qualifications. Therefore, provide only the attendance and/or degrees from schools accredited by accrediting institutions recognized by the U.S. Department of Education.

Failure to provide all of the required information as stated in this vacancy announcement may result in an ineligible rating or may affect the overall rating.

How to Apply

To apply for this position, you must complete the online application and submit the documentation specified in the Required Documents section below.

A complete application package must be submitted by 11:59 PM (EST) on the closing date of the announcement to receive consideration.

  • To begin, click Apply to access the online application. You will need to be logged into your USAJOBS account to apply. If you do not have a USAJOBS account, you will need to create one before beginning the application.
  • Follow the prompts to select your resume and/or other supporting documents to be included with your application package. You will have the opportunity to upload additional documents to include in your application before it is submitted. Your uploaded documents may take several hours to clear the virus scan process.
  • After acknowledging you have reviewed your application package, complete the Include Personal Information section as you deem appropriate and click to continue with the application process.
  • You will be taken to the online application which you must complete in order to apply for the position. Complete the online application, verify the required documentation is included with your application package, and submit the application.

To verify the status of your application, log into your USAJOBS account (https://my.usajobs.gov/Account/Login), all of your applications will appear on the Welcome screen. The Application Status will appear along with the date your application was last updated. For information on what each Application Status means, visit: https://www.usajobs.gov/Help/how-to/application/status/.

Agency contact information

ask HR
Address
Philadelphia Regional Office
1617 John F. Kennedy Blvd.
Suite 520
Philadelphia, PA 19103
US

Next steps

You will be notified of your application status through USAJOBS at four points during the hiring process, as applicable. You can check the status of your application by accessing the USAJOBS website at http://usajobs.gov/ and clicking on "Track Your Online Application."

By submitting your application, you are certifying the accuracy of the information contained in your application. If you make a false statement in any part of your application, you may not be hired, you may be terminated after you begin work, or you may be fined or jailed. After making a tentative job offer, we will conduct a suitability/security background investigation. You will be required to submit official documentation before appointment. The agency will then verify the information provided on your application (i.e., degree, Veterans' Preference, certification of disability, etc.).


Note: We cannot accept applications on behalf of Federal Agencies. Application instructions are listed within the Job Description.


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