Exam Manager

Securities and Exchange Commission•Los Angeles, CA

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). The Exam Manager joins a team responsible for supporting the Division’s nationwide examination program for entities under the Commission’s regulatory authority. The Division’s 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 Exam Manager directs employees who work or consult with a range of individuals in legislated programs; produces written reports and presentations for senior staff across the Division and SEC; and serves as a member or supervisor of examination teams. The role involves overseeing risk-based examinations and providing expert analysis of entities and individuals subject to federal securities laws. The manager assigns work based on staff skills and abilities, monitors performance, and helps develop or enhance tools, data sets, and applications used to support the Division’s risk-based examination approach. Examination staff routinely travel to registered entities’ offices to inspect facilities, meet and interview personnel, and examine business records. The position may require completion of a two-year supervisory or managerial probationary period. Relocation expenses are not authorized. The job has no education qualification requirement.

Requirements

Must be a U.S. citizen.
Males born after December 31, 1959, must be registered with or exempt from Selective Service.
Must meet time-in-grade: one year at the GS/SK-13 level.
Must have at least one year of specialized experience equivalent to the GS/SK-13 level.
Specialized experience includes auditing, examining, or investigating principles, techniques, and practices involving review and evaluation of procedures, records, and practices of specified financial and securities entities.
Specialized experience includes preparing reports of findings and/or leading staff teams with varied backgrounds, such as legal, accounting, and examining.
Specialized experience includes identifying emerging risks and issues affecting financial institutions, market intermediaries, and participants.
Applicants must submit all required application materials by the announcement closing date and meet all qualification requirements by that date.
The selectee is required to report to the listed duty station(s).
This appointment may require completion of a two-year supervisory or managerial probationary period.
Competency: Effectively conduct examination activities, whether on-site or by correspondence, in a professional manner to procure information from an entity under examination.
Competency: Gather and process large amounts of information and connect information to understand possible deficiencies.
Competency: Consider general and subject-matter-specific factors when making decisions and determining next steps in a case.
Competency: Interact with internal and external parties in a way that advances examinations and agency goals.

Responsibilities

Direct employees responsible for working or consulting with a variety of individuals in the conduct of legislated programs.
Produce well-constructed written reports and presentations for senior staff across the Division and 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 surveillance or assessment of investment companies, investment advisers, broker-dealers, SROs, clearing agencies, municipal advisers, transfer agents, and associated persons to determine compliance with securities laws and regulations.
Assign work based on staff skills and abilities and monitor work performance.
Provide expert analysis and review of activities related to federal securities law requirements for covered entities and associated persons.
Assist with and lead development or enhancement of tools, data sets, and applications that support the Division’s risk-based examination approach.
Conduct or support on-site inspections, meetings and interviews with entity personnel, and examination of business records as part of routine examination travel.