MCCA Career Center

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.

As the Associate Director leading the Office of Clearance and Settlement, typical duties include:

• Overseeing and administering the SEC's program to examine the operations, controls, and risk management programs of clearing agencies and swap data repositories.
• In conjunction with the Division's headquarters staff, staff in other SEC divisions and offices, and officials at other federal agencies and regulators, determining risks associated with clearing agencies and swap data repositories and planning the scope and work flow of the program's examination activities to address those risks and to determine compliance with applicable federal laws.
• Ensuring that the program's overall compliance and examination activities are carried out consistent with overall Commission and Division guidelines and priorities.
• Advising the Division's director and other high-ranking officials at the SEC in matters involving policy, planning, and administration related to the oversight of clearing agencies and swap data repositories.
• 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.
• 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.
• Collaborating with headquarters, other regional offices and appropriate divisions in determining national examination 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.