SENIOR OFFICER - ASSOCIATE DIRECTOR

The Division of Examinations is filling one Senior Officer position in Washington, DC for the Broker-Dealer and Exchange Examination Program (BDX). This position will lead the BDX program in Washington, DC and oversees a team of managers and staff responsible for examinations of broker-dealers, national securities exchanges, transfer agents, municipal advisors, the Public Company Accounting Oversight Board and the Securities Investor Protection Corporation.

At the Securities and Exchange Commission (SEC), we are committed to diversity, equity, inclusion and accessibility (DEIA) and value a workforce that reflects the diverse experiences and perspectives of the communities we serve. As such, we welcome applications from qualified individuals of all backgrounds who share our commitment to public service.

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.

Typical duties include:

• Collaborating with regional offices and appropriate divisions in determining national and regional examination priorities.
• Planning and evaluating the home office BDX program with respect to compliance and examinations matters.
• Ensuring that the overall compliance and examination activities are carried out consistent with overall Commission and Division guidelines and priorities.
• Advising the National Associate Director for BDX and other high-ranking officials at the SEC in matters involving policy, planning, and administration related to the oversight of broker-dealers, national securities exchanges, transfer agents, municipal advisors, the Public Company Accounting Oversight Board and the Securities Investor Protection Corporation.
• Performing the full range of supervisory duties, including evaluating employee performance; making recommendations for appointment and promotion; hearing and resolving complaints; identifying development and training needs of employees; and other related supervisory tasks.
• Communicating with FINRA and other self-regulatory organizations in order to monitor the operational and financial condition of securities industry registrants within the region.
• Contacting and collaborating with high-ranking officials from other federal agencies and departments of government, congressional staff officials, state officials, and/or executives of comparable private sector organizations.
• Participating in and/or planning public speaking events to educate the industry and general public about examination and Commission priorities
• Promoting the spirit and practice of diversity, and further the goals of equal employment opportunity (EEO) by taking positive steps to ensure the accomplishment of affirmative action objectives, and adherence to nondiscriminatory employment practices.