The Division of Examinations (EXAMS) is seeking applicants for a temporary promotion for 120 days as the Acting Associate Director for the Investment Advisers/Investment Company Examination Program (IA/IC) located in Philadelphia, PA. The selected applicant will be temporarily promoted to the Senior Officer position for 120 days.
All qualification requirements must be met by the closing date of this announcement. Time-in-grade for this announcement is one year at the GS/SK-14 level. 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. MINIMUM QUALIFICATION REQUIREMENT: SO-01: Applicant must have at least one year of specialized experience equivalent to the GS/SK-14 level. Specialized experience 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 in the region; Providing assistance and information to securities firms and to investors in the region; 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.
The Division of Examinations (EXAMS) is seeking to fill the position of Acting Associate Director for the Investment Adviser and Investment Company Examinations Program (IA/IC). This program is located in Philadelphia and is open to current EXAMS employees with a Philadelphia duty station. Duties The Acting Associate Director (EXAMS) supervises and directs Exams' IA/IC Examination Program under the immediate supervision of the National Associate Directors of IAIC. The incumbent advises the Exams National Associate Directors(s) and/or the Exams Director with regard to the Exams priorities, strategies and examinations. 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.