Exam Manager

Securities and Exchange Commission • Denver, CO

6d • Onsite

About The Position

The Division of Examinations is seeking a Supervisory Securities Compliance Examiner (Exam Manager), SK-1831-15 in the Office of Investment Advisers and Investment Companies (IA/IC). As an Exam Manager, 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. 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.

Requirements

• US Citizen
• Males born after 12/31/59 must be registered or exempt from Selective Service
• Entrance on duty is contingent upon completion of a pre-employment security investigation
• Favorable results on a Background Investigation may be a condition of employment or selection to another position
• This position may be subjected to drug testing requirements
• Moving/Relocation expenses are not authorized
• All Federal employees are required to have Federal salary payments made by direct deposit to a financial institution of their choosing
• This appointment may require completion of a two year supervisory/managerial probationary period
• This appointment may require completion of a one-year probationary period
• The selectee is required to report to the duty station(s) listed
• Examination staff routinely travel to the offices of registered entities to conduct on-site inspections of facilities, to meet with and interview entity personnel, and to examine certain business records
• Time-in-grade for this announcement is one year at the GS/SK-13 level
• 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
• All qualification requirements must be met by the closing date of this announcement
• Applicant must have at least one year of specialized experience equivalent to the GS/SK-13 level: Auditing, examining, or investigating principles, techniques, and practices that involve the review and evaluation of procedures, records and practices of broker-dealers, transfer agents, municipal advisers, security-based swap dealers or self-regulatory organizations and funding portals; AND Preparing reports of findings; and/or leading teams of staff with varying backgrounds (e.g., legal, accounting, examining); AND Identifying emerging risks and issues affecting financial institutions, market intermediaries, and participants and producing written reports
• 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

• Directing employees responsible for working and/or consulting with a variety of individuals in the conduct of legislated programs
• Producing well-constructed written reports and presentations whose audience includes senior staff from across the Division and the SEC
• Serving 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
• Operating or overseeing 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
• Assigning work, taking into account skills and abilities of the staff and monitoring work performance
• Providing 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
• Assisting and leading in developing or enhancing existing tools, data sets and applications that assist the Division in executing its risk-based examination approach

Benefits

• A career with the U.S. government provides employees with a comprehensive benefits package.
• As a federal employee, you and your family will have access to a range of benefits that are designed to make your federal career very rewarding.
• Learn more about federal benefits.

What This Job Offers

• Job Type: Full-time
• Career Level: Manager
• Education Level: No Education Listed