Assistant Director

Securities and Exchange Commission•Los Angeles, CA

21d

About The Position

The Division of Examinations (EXAMS) is hiring a Supervisory Attorney-Adviser (Assistant Director), SK-0905-17, in the Office of FINRA and Securities Industry Oversight (FSIO). The role supports EXAMS’ 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 help the SEC inform rulemaking, identify and monitor risks, improve industry practices, and pursue misconduct. The Assistant Director provides executive leadership and management for assigned staff and work products. The role oversees complex inspections and examinations, advises on legal and program matters, and represents the agency in high-level meetings and presentations. Examination staff routinely travel to registered entities’ offices to inspect facilities, meet and interview personnel, and review business records. The selected candidate must report to the listed duty station(s).

Requirements

U.S. citizenship.
A J.D. or LL.B. degree.
Active membership in good standing of the bar in a U.S. state or territory, the District of Columbia, or Puerto Rico; proof is required before entry on duty.
One year of specialized experience equivalent to the GS/SK-14 level.
Specialized experience providing legal advice on federal securities laws and compliance issues relating to SROs or broker-dealers.
Specialized experience leading teams of staff with varying backgrounds, such as legal, accounting, or examining staff.
Specialized experience identifying emerging risks and issues affecting SROs or broker-dealers.
Meet all qualification requirements by the announcement closing date.
Male applicants born after December 31, 1959 must be registered with or exempt from Selective Service.
The selectee must report to the listed duty station(s).
The position may be subject to drug testing.
A two-year trial period may be required; a two-year supervisory or managerial trial period may also be required.
Federal employees must receive salary payments by direct deposit.
Applicants must submit required application materials and education documentation by the closing date.

Responsibilities

Plan and assign work; advise on program goals and objectives; decide work problems; and organize and monitor work flow to achieve effective results in a complex environment.
Direct staff conducting extensive and complex inspections or examinations; work with field offices; and review reports and recommendations.
Provide advice on novel questions, analyze industry trends, and follow up to ensure recommendations are implemented by the industry.
Participate as a legal adviser and counselor in meetings and conferences involving policy formulation, procedural development, program planning, and development of agency positions.
Provide executive leadership and manage staff and work products by maintaining knowledge and insight into the assigned specialized market segment and monitoring new or uncharted marketing or financial techniques and developments that affect SEC decisions.
Represent the agency in high-level meetings, conferences, and presentations with regulatory and law enforcement agencies, government offices at various levels, private industry, and academic organizations.
Conduct on-site inspections of registered entities’ facilities, meet and interview entity personnel, and examine business records as part of examination work.