EXAM MANAGER - SUPERVISORY ATTORNEY-ADVISER

The Division of Examinations is seeking an EXAM Manager (Supervisory Attorney-Adviser) in the Office of Broker-Dealers (BDX), Office of Investment Advisers and Investment Companies (IA/IC), Private Funds Unit (PFU) and Office of Clearance Settlement (OCS). 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.

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.

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.

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 federal securities laws and compliance issues as they relate to securities-related financial institutions, such as 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 experience; AND
3. Identifying emerging risks and issues affecting financial institutions, market intermediaries, and participants and producing written reports.

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

Examwork - Effectively conducts examwork activities (whether onsite, correspondence, etc.) in a professional manner to procure information from an entity under examination.

Information Gathering - Ability to gather and process large amounts of information and make connections to understand possible deficiencies.

Critical Thinking - Considers a variety of factors, general and subject matter-specific, when making decisions and determining next steps in a case.

Teamwork and Collaboration - Interacts with internal and external others in a manner that advances examinations and agency goals and objectives.

Responsibilities:

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.

In this role as a EXAM Manager, you will:

• Direct employees responsible for working and/or consulting with a variety of individuals in the conduct of legislated programs;
• Produce well-constructed written reports and presentations whose audience includes senior staff from across the Division and the SEC;
• Serve as a member or supervisor of an examination team in an audit or examination program of a federal, state or regulatory body in the securities or financial services industry;
• Operate or oversee examinations based on the surveillance or assessment of investment companies, investments advisers, broker dealer, SROs, clearing agencies, municipal advisors, and transfer agents and their associated persons to determine level of compliance with federal/state securities laws and regulations;
• Assign work, taking into account skills and abilities of the staff and monitoring work performance;
• Provide expert analysis and review of activities related to the federal securities law requirements for investment companies/investments advisers, broker dealer, SROs, clearing agencies, municipal advisors, and transfer agents and their associated persons; and
• Assist and lead in developing or enhancing existing tools, data sets and applications that assist the Division in executing its risk-based examination approach.

Vacancies are in the following EXAMS' programs and duty locations:

• BDX: Chicago, Denver, Fort Worth, Los Angeles, New York, and San Francisco
• IA/IC: Boston, Chicago, Denver, Fort Worth, New York, Philadelphia, and San Francisco
• OCS: Chicago, DC and New York
• PFU: All Locations

Salary : $150,009