Clarification from the agency

This position is open to current SEC employees.

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.

Conditions of employment

• CITIZENSHIP: You must be a US Citizen.
• You must possess a J.D. or LL.B Degree and you must be an active member of the bar in good standing.
• This position is open to current SEC Employees
• 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.
• 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.
• 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.

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.

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.

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:

1. Conducting, overseeing or supporting 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;
3. Providing assistance and information to securities firms and to investors;
4. Managing a team or group that conducts, oversees or supports examinations or audits of financial or securities firms; and
5. Providing information and/or assistance with respect to possible violations of federal securities laws and regulations.

Your resume will be reviewed by an HR Specialist and a Subject Matter Expert to determine if you meet the basic requirement (if applicable) and minimum qualification requirements as outlined in the announcement.

How you will be evaluated

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

If you are found minimally qualified, a rating panel will review your resume and Accomplishment Record narratives. Narratives should clearly demonstrate your proficiency in the following competencies:

1. 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.
2. 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.
3. 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.
4. 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.
5. Analysis and Risk Assessment: Analyze information to assess an entity's level of risk for deficiencies in various focus areas.
6. Exam work: Conduct exam work activities (whether onsite, correspondence, etc.) in a professional manner to procure information from an entity under examination.
7. Critical Thinking: Consider a variety of factors, general and subject matter-specific, when making decisions and determining next steps in a case.

Your resume must provide evidence that supports the claims made in your Accomplishment Record narratives; both documents must effectively showcase your qualifications. Each competency narrative should detail one specific, relevant example from your training or experience. Please limit each response to a maximum of 300 words, as any text beyond this limit will not be considered during the evaluation. You will upload one pdf or Word document with your narrative responses to each of the four competencies. Your responses must be in the below format:

Competency Title
Position title and dates from your resume that this experience was obtained

• Describe the situation (i.e., the challenged faced, the problem solved)
• Describe the specific actions you took
• State the outcome, results, or long-term impact of your accomplishment
• Name and email address of someone who can verify this information

Basis for Rating: The rating panel will evaluate applicants' accomplishment records and resume, then place them into one of the following categories: Highly Qualified, Well Qualified and Qualified.

• Highly Qualified - Meets the minimum qualification requirements and has extensive skills and experience in most of the job related competencies above.
• Well Qualified - Meets the minimum qualification requirements and has a moderate amount of skills and experience in most of the job related competencies above.
• Qualified - Meets the minimum qualification requirements, but may have a limited amount of experience in several of the job related competencies.

Top ranked applicants will be referred to the hiring office for further review and consideration. The hiring office may directly contact recommended candidates for interview(s). When the selection is made, applicants will be sent a referral status notification and a final disposition notification.

You must provide a complete Application Package, which includes:

• Required: Your responses to the Questionnaire. To preview the Questionnaire, click https://apply.usastaffing.gov/ViewQuestionnaire/12912099
• Required: Resume - To meet the minimum qualification requirements for this position, you must show that you possess the specialized experience related to this position within your two-page resume - NOT TO EXCEED 2 PAGES. Resumes over the 2-page limit, will not be reviewed beyond page 2. Your resume should highlight the competencies required for the position and include examples of experience, education, and accomplishments applicable to the qualification(s) and include specific employment dates (month and year and start and ends dates) and differentiate between full-time and part-time work. To help ensure the resume review fully credits your relevant experience, we recommend clearly referencing the competency and specialized experience demonstrated in each position or example you include in your resume. If your resume does not reflect demonstrated evidence of these qualifications, you may not receive consideration for the position. Candidates external to the SEC will be allowed to submit a comprehensive resume for pay setting purposes after a tentative offer is made. If the applicant fails to provide the comprehensive resume by the specified deadline, the resume submitted at the time of application will be used to determine pay. No additional documentation will be accepted after the deadline. Note: Your resume must NOT contain pictures. If you are a current SEC employee selected for this position, the standard percentage increases will be applied (i.e., 6% for non-supervisory and 10% for supervisory 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. If your selection results in a change in grade from an SK-15 to an SK-16 you will maintain your current salary. For helpful guidance for writing a two-page resume, click here.
• Required: Accomplishment Record - For each competency, applicants must provide a 300 word or less written narrative describing one example of competency-related experience. Each example should document the position title and dates when the experience was obtained, detailed information about the problem or situation, the specific actions taken by the applicant, and the results or outcomes achieved by those actions. The applicant will also provide the name and contact information of an individual who can verify the provided information. This document must be uploaded to the application under Accomplishment Record. An accomplishment record submitted outside the USA Staffing system will not be accepted. Failure to provide the Accomplishment Record will result in a rating of IFFM: You were not considered because you did not submit all required documents and/or they were not in English as specified in the announcement.

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