Assistant Director

Securities and Exchange Commission•Los Angeles, CA

About The Position

The Division of Examinations is hiring a Supervisory Staff Accountant (Assistant Director), SK-0510-17, 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 examinations help inform rulemaking, identify and monitor risks, improve industry practices, and pursue misconduct. The Assistant Director provides executive leadership and management of staff and work products in a complex environment. The position oversees examination programs, offers advice on novel questions and industry trends, and represents the agency in high-level discussions with government, regulatory, law enforcement, industry, and academic participants. Examination staff routinely travel to registered entities for on-site inspections, interviews, and reviews of business records.

Requirements

U.S. citizenship.
Meet the accounting basic requirement through either an accounting degree, a related degree with 24 semester hours in accounting, or the specified combination of accounting experience, education, and training. The combination route requires at least four years of accounting experience and additional qualifying coursework, certification, or education and experience as specified in the announcement.
At least one year of specialized experience equivalent to the GS/SK-14 level.
Experience reviewing and applying federal securities laws, GAAP, and GAAS.
Experience leading teams with varied professional backgrounds, such as legal, accounting, and examination staff.
Experience identifying emerging risks and issues affecting SROs and broker-dealers.
One year of time-in-grade at the GS/SK-14 level.
Submit transcripts or other documentation supporting educational claims; foreign education used to qualify must be evaluated by a qualifying private organization.
Meet applicable Selective Service registration requirements for males born after December 31, 1959.
Report to the listed duty station(s); relocation expenses are not authorized.
Complete a two-year supervisory/managerial probationary period if required.
Address the specified accomplishment-record competencies: examwork, critical thinking, managing information, and teamwork and collaboration.

Responsibilities

Plan and assign work, advise on program goals and objectives, decide work problems, and organize and monitor workflow to achieve effective results.
Direct staff conducting extensive and 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 recommendations are implemented.
Attend and participate in meetings and conferences addressing policy formulation, procedural development, and program planning.
Provide executive leadership and management of staff and work products, maintaining knowledge of the assigned market segment and monitoring new or uncharted marketing and 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 academia.