This position is located in the Office of Compliance Inspections and Examinations (OCIE). OCIE's mission 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. OCIE protects investors through administering the SEC's National Exam Program (NEP).
As a Deputy Director in the Office of Compliance Inspections and Examinations, the incumbent will assist the Director, and in conjunction with the co-Deputy Director, ensure that OCIE effectively and efficiently administers all aspects of the National Exam Program to promote compliance with U.S. securities laws (including but not limited to the Securities Act of 1933 and the Securities Exchange Act of 1934), prevent fraud, monitor risk, and inform SEC policy. Examiners in Washington DC and in the Commission's 11 regional offices conduct examinations of the nation's registered entities, including broker-dealers, transfer agents, investment advisers, investment companies, the national securities exchanges, clearing agencies, SROs such as the Financial Industry Regulatory Authority ("FINRA") and the Municipal Securities Rulemaking Board, and the Public Company Accounting Oversight Board ("PCAOB").
Allocating resources and personnel to gather and evaluate facts and developing alternate courses of action; setting priorities, goals and objectives for OCIE; and coordinating simultaneous workflows to ensure they efficiently contribute to Commission objectives.
Participating in the conception, development, planning and implementation of policies and guidelines affecting broad, emerging and critical OCIE programs.
Coordinating the OCIE's activities with those of other divisions and offices, including full discussion of issues with other divisions or offices and insuring that all comments are given consideration.
Helping to formulate the views and opinions of OCIE and the Commission as expressed in testimony and hearings before Congress, as well as with respect to legislation pending before Congress that affects the work of OCIE.
Representing OCIE on various inter-agency, national or international working groups, task forces and other coordination efforts important to the achievement of OCIE's mission and resolution of long-term operating issues and challenges.
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.
You must possess a J.D. or LL.B Degree.
Active membership of the bar in good standing in any state, territory of the United States, the District of Columbia, or the commonwealth of Puerto Rico. (Note: proof of bar membership will be required before entry on duty.
This position is open to all U.S. citizens and persons lawfully admitted for permanent residence and seeking citizenship as outlined in 8 U.S.C. 1324b(a)(3)(B).
Internal Number: 18-EX-10278404-DMQ
About U.S. Securities and Exchange Commission
The Securities and Exchange Commission's mission is to protect investors, maintain fair, orderly, and efficient markets, and facilitate capital formation. The agency seeks high-caliber employees who share the same values of integrity, fairness, accountability, resourcefulness, teamwork, and commitment to excellence.