Branch Chief

Securities and Exchange Commission; Los Angeles (CA); On-site; USD 120,000 - 180,000; Full time

Job summary

The Securities and Exchange Commission invites applications for a Supervisory Attorney Adviser in the Technology Controls Program, located in one of several major U.S. offices including Los Angeles, CA.

The role leads a branch focused on technology-focused examinations of registered entities and implements SEC governance and security program oversight. Ideal candidates will have extensive experience advising on Federal securities laws, leading IT security audits, and supervising teams to ensure

Qualifications

• Minimum Qualification: SK-15 – one year of specialized experience equivalent to GS/SK-13 level.
• Specialized experience includes: Providing legal advice on issues related to Federal securities laws and acts;
• Leading a team responsible for deploying, supporting, or auditing technology solutions in the securities market.

Responsibilities

• Supervising and managing staff within the Branch, including administrative and technical supervision.
• Supervising the planning and conducting IT security audits of financial industry participants.
• Providing expert advice and guidance on broad projects with national impact related to SEC’s Technology Controls Program.
• Providing authoritative guidance related to regulations governing securities industry IT governance and security programs.

Job description

Summary

The Division of Examinations is seeking a Supervisory Attorney Adviser, SK-0905-15 in the Technology Controls Program (TCP) and will be located in one of the following locations: Chicago, IL; Los Angeles, CA; Miami, FL; New York, NY; Philadelphia, PA or Washington, DC. As a Branch Chief, you will join a well-respected team that is responsible for conducting examinations of entities subject to Regulation Systems Compliance and Integrity (SCI).

Duties

The mission of the Division of Examinations 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 technology focused examinations of Commission registrants. In this role as a Branch Chief, you will be responsible for:

• Supervising and managing staff within the Branch including providing administrative and technical supervision necessary for accomplishing the work of the unit;
• Supervising the planning and conducting of IT security audits of financial industry participants;
• Providing expert advice and guidance on broad projects and programs with national impact related to the SEC’s Technology Controls Program; and
• Providing authoritative guidance related to the regulations governing securities industry IT governance and security programs.

Requirements

Conditions of employment

• CITIZENSHIP: You must be a US Citizen.
• SELECTIVE SERVICE: Males born after 12/31/59 must be registered or exempt from Selective Service (see https://www.sss.gov/).
• 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.
• TRIAL PERIOD: 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.
• SUPERVISORY TRIAL PERIOD: This appointment may require completion of a two year supervisory/managerial trial period.
• If selected, you may receive a salary increase for the duration of the temporary promotion. You will be returned to your original salary at the end of the appointment.
• The selectee is required to report to the duty station(s) listed.
• 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

Applicants are responsible for confirming all required materials are submitted by the closing date of the announcement. 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.

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. All qualification requirements must be met by the closing date of this announcement.

MINIMUM QUALIFICATION REQUIREMENT: In addition to meeting the basic requirement, applicants must also meet the minimum qualification requirement.SK-15: Applicant must have one year of specialized experience equivalent to the GS/SK-13 level. Specialized experience includes:

1. Providing legal advice on issues related to the rules and policies of Federal securities laws and acts relating to self-regulatory exchanges, broker-dealers, or investment advisers; AND
2. Developing recommendations and/or reports of findings while interacting with executive management, co-workers, and members of the securities industry to resolve issues; AND
3. Leading a team that is responsible for deploying, supporting, or auditing technology solutions employed in the securities market.

ACCOMPLISHMENT RECORD COMPETENCIES: Your Accomplishment Record narratives should address the following competencies. See the How You Will Be Evaluated section below for more information:

• Competency 1: Information Gathering: Ability to gather and process large amounts of information and make connections to understand possible deficiencies.
• Competency 2: Technology Expertise: Knowledge of the principles and methods of specialized technologies, tools, and delivery systems, including security, risk management, governance, functionality, and user interface in area of expertise (e.g., programming languages, server, web, applications, network).
• Competency 3:Teamwork and Collaboration Interacts with internal and external others in a manner that advances examinations and SEC goals and objectives.
• Competency 4: Program Management: Ability to develop and execute programs to deliver results that efficiently and effectively meet SEC's mission, strategic plan and goals, with little or no guidance.

Education

You MUST provide transcripts or other documentation to support your educational claims. Unless otherwise stated: (1) official or unofficial transcripts are acceptable, or (2) you may submit a list with all your courses, grades, semester, year, and credit for the course. If you are qualifying for this position by substituting education or training for experience, you must submit a copy of your unofficial transcripts or equivalent by the closing date of the announcement. Qualifying education must have been obtained from an accredited college or university recognized by the U.S. Department of Education. Internal Applicants: OHR will verify education qualifications for internal applicants using documents in the Electronic Official Personnel Folder (eOPF). If required transcripts or certificates are not present in your eOPF, you will be required to provide them to OHR. If selected, a start date will not be established until official transcripts are received.

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. For more information, click here.

Applicants may also find the following helpful:

National Association of Credential Evaluation Services (NACES) is an association of 19 credential evaluation services with admission standards and an enforced code of good practice.

Association of International Credentials Evaluators (AICE) is an association of 10 credential evaluation services with a board of advisors and an enforced code of ethics.

Additional information

• 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.
• SEC COMPENSATION PROGRAM: Total salary (base pay + locality) is dependent upon duty location. The overall salary range listed above is provided for informational purposes. The pay for current SEC employees will be determined according to the procedures specified in the agency’s policy.
• IMPORTANT INFORMATION FOR SURPLUS OR DISPLACED FEDERAL EMPLOYEES: Career Transition Assistance Plan (CTAP) is available to individuals who have special priority selection rights under this plan. Individuals must be minimally qualified for this position to receive consideration for special priority selection. CTAP eligibles will be considered minimally qualified if they meet the minimum requirements for this position.
• 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 [e-mail]. For religious-based accommodations, please contact [e-mail] . 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: For more information, please click here.
• 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 [e-mail].

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.

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 window Learn more about federal benefits.

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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.