Duties
The Associate Director (Exams) supervises and directs Exams' IA/IC Examination Program under the immediate supervision of the National Associate Directors(s). The incumbent advises the Exams National Associate Directors(s) and/or the Exams Director with regard to the Exams priorities and strategies and examinations, particularly those of off-shore registrants.
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 possess a J.D. or LL.B Degree.
- You must be an active member of the bar in good standing.
- CITIZENSHIP: 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.
- 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.
- For consideration at the SO-2 level, you must currently hold a SO-2 position within the SEC.
- Consistent with 5 U.S.C. § 7511, you will be required to serve a two-year trial period (one year for preference eligible veterans) if the position to which you have applied is not the same or similar to your current position of record.
- This position is open to current SEC employees in the Division of Examinations only.
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. Qualifying education must have been obtained from an accredited college or university recognized by the U.S. Department of Education.
BASIC REQUIREMENT: All applicants must possess the following
- J.D. or LL.B. degree --AND--
- Active membership of the bar in good standing in any state, territory of the United States, the District of Columbia, or the commonwealth of Puerto Rico. (Note: proof of bar membership will be required before entry on duty.
MINIMUM QUALIFICATION REQUIREMENT: In addition to meeting the basic requirement, applicants must also meet the minimum qualification requirement.
- SO-01: Applicant must have four year(s) of post J.D. work experience as a practicing attorney, three years of which includes the following:
- 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;
- Providing assistance and information to securities firms and to investors;
- 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.
Education
FOREIGN EDUCATION: If you are using education completed in foreign colleges or universities to meet the qualification requirements, you must show the education credentials have been evaluated by a private organization that specializes in interpretation of foreign education programs and such education has been deemed equivalent to that gained in an accredited U.S. education program; or full credit has been given for the courses at a U.S. accredited college or university. For further information, visit: http://www.ed.gov/about/offices/list/ous/international/usnei/us/edlite-visitus-forrecog.html
Official Transcripts will be required at the time of appointment to verify educational eligibility.
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.
After the vacancy announcement closes, all applicants will be notified of their application status.
Applicants who receive a tentative eligible rating will first be reviewed to confirm they meet the basic qualification and eligibility requirements. Those who meet these requirements will be referred to a resume review panel, designated by the hiring office. The panel will evaluate applications and rate candidates based on how well the resume shows the required qualifications and competencies for the position. Your resume must clearly demonstrate that you meet the qualifications for the position.
Additional application materials submitted outside of the USAJOBs system or after the position is closed will not be accepted, unless requested by the hiring office as part of the evaluation process (e.g. writing sample).
Once the resume review panel has completed their review of all applicants, they will recommend the top candidates for referral to the hiring manager. The hiring office will schedule the interview(s) directly with the recommended candidates.
When the selection is made, applicants will be sent a referral status notification and a final disposition notification.
You will be rated on the following Leadership/Technical Competencies:
- Leading the Organization: Building and supporting the organization's vision, creating strategies to achieve the vision, supporting and leading innovative and creative initiatives to meet organizational goals.
- Leading and Developing People: Ability to 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: 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.
- Building Coalitions: 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 an organization.
- Analysis and Risk Assessment: Analyzes information to assess an entity's level of risk for deficiencies in various focus areas.
- Exam work: Effectively conducts exam work activities (whether onsite, correspondence, etc.) in a professional manner to procure information from an entity under examination.
- Critical Thinking: Considers a variety of factors, general and subject matter-specific, when making decisions and determining next steps in a case.
The Eligibility Questionnaire will take you approximately 20 minutes to complete. To preview the Eligibility Questionnaire, click the following link
https://apply.usastaffing.gov/ViewQuestionnaire/12798141
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/.
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.).