Assistant Director

Securities and Exchange Commission•Los Angeles, CA

10h

About The Position

The Division of Examinations is seeking a Supervisory Securities Compliance Examiner (Assistant Director), SK-1831-17, in the Office of FINRA and Securities Industry Oversight (FSIO). The role supports the Division’s mission to conduct and coordinate examinations of certain self-regulatory organizations (SROs) over which the Commission has regulatory authority. The Division’s broader mission is to protect investors, ensure market integrity, and support responsible capital formation through risk-focused strategies that improve compliance, prevent fraud, monitor risk, and inform policy. Examination results inform SEC rulemaking, risk monitoring, industry practices, and enforcement of misconduct. The Assistant Director provides executive leadership and management for staff and work products in an assigned specialized market segment. The position oversees complex inspections and examinations, helps shape program goals and procedures, advises on novel questions and industry trends, and represents the agency in high-level engagements. Examination staff routinely travel to registered entities to inspect facilities, meet and interview personnel, and review business records.

Requirements

U.S. citizenship.
Males born after December 31, 1959, must be registered for Selective Service or exempt.
At least one year of specialized experience equivalent to the GS/SK-14 level.
Specialized experience conducting compliance inspections and examinations of SROs or broker-dealers.
Specialized experience leading teams of staff with varying backgrounds, such as legal, accounting, and examining.
Specialized experience identifying emerging risks and issues affecting SROs or broker-dealers.
One year of time-in-grade at the GS/SK-14 level.
Ability to demonstrate examwork, critical thinking, managing information, and teamwork and collaboration competencies.
Ability to report to the listed duty station(s).

Responsibilities

Plan and assign work, advise on program goals and objectives, make decisions on work problems, and organize and monitor workflow to achieve effective results in a complex environment.
Direct staff conducting extensive and extremely complex inspections or examinations, coordinate with field offices, and review reports and recommendations.
Provide advice on novel questions, analyze industry trends, and follow up to ensure industry implementation of recommendations.
Attend and participate in meetings and conferences concerning policy formulation, procedural development, program planning, and agency positions.
Provide executive leadership and management of staff and work products in an assigned specialized market segment.
Monitor new or emerging marketing or financial techniques and developments that affect SEC decisions.
Represent the agency in high-level meetings, conferences, and presentations involving regulatory and law enforcement agencies, government offices, private industry, and academic communities.