Senior Officer-Associate Director

U.S.-Securities-and-Exchange-Commission; Fort Worth (TX); On-site; USD 110,000 - 150,000; Full time

Job summary

The U.S. Securities and Exchange Commission's Division of Examinations, IA/IC, seeks an Associate Director for the Fort Worth Regional Office to lead examination strategy for registrants in TX, OK, AR.

This leadership role requires guiding teams, coordinating with enforcement staff, and ensuring high-quality examinations. Applicants must meet the GS-14 level requirement with at least one year of specialized experience, including supervisory exam work and risk analysis.

Qualifications

• At least one full year of specialized experience equivalent to GS-14/SK-14.
• Examinations of broker-dealers, transfer agents, investment companies, and advisers.
• Experience managing a team conducting examinations or audits of financial or securities firms.
• Ability to provide information to enforcement staff on potential violations.

Skills

Leading the Organization

Leading and Developing People

Results Orientation

Building Coalitions

Analysis and Risk Assessment

Examwork

Critical Thinking

Job description

The Division of Examinations (Exams) is seeking to fill the role of Associate Director within the Office of Investment Adviser and Investment Company Examinations (IA/IC). This leadership position is based in the Fort Worth Regional Office, which oversees examination activity across Texas, Oklahoma and Arkansas. The Associate Director plays a critical role in shaping and implementing the Division's examination strategy for registrants in the Fort Worth area of responsibility. 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:

SO-01: Applicant must possess at least one full year of specialized experience equivalent to at least the GS-14/SK-14 level in the federal government. Specialized experience is defined as:

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;
3. Providing assistance and information to securities firms and to investors;
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.

ACCOMPLISHMENT RECORD COMPETENCIES:

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

1. 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.
2. 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 SEC's mission, strategic plan, and goals
3. 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.
4. 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 SEC.
5. Analysis and Risk Assessment: Analyzes information to assess an entity's level of risk for deficiencies in various focus areas.
6. Examwork: Effectively conducts examwork activities (whether onsite, correspondence, etc.) in a professional manner to procure information from an entity under examination.
7. Critical Thinking: Considers a variety of factors, general and subject matter-specific, when making decisions and determining next steps in a case.