Exam Manager

SEC; Washington (District of Columbia); On-site; USD 90,000 - 120,000; Full time

Job summary

The Division of Examinations at the U.S. Securities and Exchange Commission seeks a Supervisory Securities Compliance Examiner (Exam Manager), SK-1831-15, in the Office of Investment Advisers and Investment Companies (IA/IC).

This position leads a team and coordinates nationwide examinations for entities under Commission authority, with time-in-grade at least one year for the GS/SK-13 level. Candidates should demonstrate strong examwork, information gathering, critical thinking, and teamwork to

Qualifications

• Specialized experience includes auditing, examining, or investigating broker-dealers, investment advisers, and investment companies.
• Preparing reports of findings and leading teams with diverse backgrounds.
• Identifying emerging risks affecting financial institutions and market participants.

Responsibilities

• Competently conducts examwork to obtain information from entities under examination.
• Gathers and processes large amounts of information to identify deficiencies.
• Applies critical thinking to determine next steps in a case.
• Collaborates with internal and external partners to advance examinations and agency goals.

Job description

The Division of Examinations is seeking a Supervisory Securities Compliance Examiner (Exam Manager), SK-1831-15 in the Office of Investment Advisers and Investment Companies (IA/IC).

As an Exam Manager, 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. Time-in-grade for this announcement is one year at the GS/SK-13 level.

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

MINIMUM QUALIFICATION REQUIREMENT

SK-15: Applicant must have at least one year of specialized experience equivalent to the GS/SK-13 level. Specialized experience includes:

1. Auditing, examining, or investigating principles, techniques, and practices that involve the review and evaluation of procedures, records and practices of broker-dealers, clearing agencies, transfer agents, municipal advisers, investment advisers, investment companies, security-based swap dealers, private funds or self-regulatory organizations; AND
2. Preparing reports of findings; and/or leading teams of staff with varying backgrounds (e.g., legal, accounting, examining); AND;
3. Identifying emerging risks and issues affecting financial institutions, market intermediaries, and participants.

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: Examwork: Effectively conducts examwork activities (whether onsite, correspondence, etc.) in a professional manner to procure information from an entity under examination..
• Competency 2: Information Gathering: Ability to gather and process large amounts of information and make connections to understand possible deficiencies.
• Competency 3: Critical Thinking: Considers a variety of factors, general and subject matter-specific, when making decisions and determining next steps in a case.
• Competency 4: Teamwork and Collaboration: Interacts with internal and external others in a manner that advances examinations and agency goals and objectives.