This job originated on www.usajobs.gov. For the full announcement and to apply, visit www.usajobs.gov/job/636562100. Only resumes submitted according to the instructions on the job announcement listed at www.usajobs.gov will be considered.
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Summary
The Associate Regional Director position is in the Division of Examinations-Los Angeles Regional Office located in Los Angeles, CA and is open to US citizens.
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Overview
- Hiring complete
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Open & closing dates
02/10/2022 to 02/24/2022
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Salary
$190,564 - $267,780 per year
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Pay scale & grade
SO 1
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Location
1 vacancy in the following location:
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Telework eligible
Yes—as determined by the agency policy.
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Travel Required
Occasional travel - Travel averages 5 days a month.
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Relocation expenses reimbursed
No
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Appointment type
Permanent
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Work schedule
Full-time
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Service
Competitive
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Promotion potential
2
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Job family (Series)
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Supervisory status
Yes
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Security clearance
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Drug test
No
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Position sensitivity and risk
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Trust determination process
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Announcement number
22-DE-11386642-DMQ
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Control number
636562100
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Duties
The Associate Regional Director, under the general direction of the Regional Director, plans and establishes policy for the Division of Examinations in the Los Angeles Regional Office (LARO) and directs, coordinates, controls, and evaluates the performance in this area. The principal functions of this office include: conducting exams of investment companies, investment advisers, broker-dealers, transfer agents, and municipal advisors; providing interpretations regarding the application and meaning of Commission rules and regulations; and investigating possible violations of the federal securities laws.
Typical duties include:
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- Participating with appropriate divisions in the headquarters office in planning and evaluating the overall program of the Region with respect to compliance/examinations matters.
- Ensuring that the overall compliance and examination activities are carried out consistent with overall Commission and Division guidelines and priorities.
- Overseeing regional risk assessment of the registrant population that includes the review of various forms of intelligence and information flows. Developing initiatives and specific examinations that are responsive to the risks identified.
- 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.
- Planning and participating in industry regulatory conferences or similar events, speaking about various compliance or examination matters.
- Promoting the spirit and practice of diversity, equity, and inclusion 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.
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Requirements
Conditions of Employment
- You must be a US Citizen.
- Application procedures are specific to this vacancy announcement. Please read all the instructions carefully. Failure to follow the instructions may result in you not being considered for this position.
- Supplementary vacancies may be filled in addition to the number stated in this announcement.
- This position has promotion potential to the SO-02 level.
- PROBATIONARY PERIOD: This appointment may require completion of a two year supervisory/managerial probationary period.
- SECURITY CLEARANCE: 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.
- DRUG TESTING: This position may be subjected to drug testing requirements.
- PERMANENT CHANGE OF STATION (PCS): Moving/Relocation expenses are not authorized.
- DIRECT DEPOSIT: All Federal employees are required to have Federal salary payments made by direct deposit to a financial institution of their choosing.
- This position is not in the collective bargaining unit.
- For consideration at the SO-2 level, you must currently hold a SO-2 position within the SEC.
- Due to COVID-19, the SEC is currently in an optional telework posture. This position is eligible to request telework in accordance with the SEC 's telework policy.
Qualifications
All qualification requirements must be met by the closing date of this announcement.
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.
MINIMUM QUALIFICATION REQUIREMENT:
SO-01: Applicant must have at least one year of specialized experience equivalent to the GS/SK-14 level. Specialized experience includes the following:
(1) Interpreting and applying the provisions of the Securities Act of 1933 and the Securities Exchange Act of 1934, the Investment Company Act of 1940 and the Investment Advisers Act of 1940;
(2) Providing guidance and evaluation on policy issues related to the federal securities laws; investigating possible violations of federal securities laws and regulations;
(3) Examining or investigating clearing agencies, broker dealers, municipal securities dealers, municipal advisers, transfer agents, exchanges, investment advisers or investment companies; AND
(4) Managing a team or group that conducts examinations, audits, or investigations of financial or securities firms.
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.
MINIMUM QUALIFICATION REQUIREMENT:
SO-01: Applicant must have at least one year of specialized experience equivalent to the GS/SK-14 level. Specialized experience includes the following:
(1) Interpreting and applying the provisions of the Securities Act of 1933 and the Securities Exchange Act of 1934, the Investment Company Act of 1940 and the Investment Advisers Act of 1940;
(2) Providing guidance and evaluation on policy issues related to the federal securities laws; investigating possible violations of federal securities laws and regulations;
(3) Examining or investigating clearing agencies, broker dealers, municipal securities dealers, municipal advisers, transfer agents, exchanges, investment advisers or investment companies; AND
(4) Managing a team or group that conducts examinations, audits, or investigations of financial or securities firms.
Education
This job does not have an education qualification requirement.
Additional information
SEC COMPENSATION PROGRAM: The overall salary range listed above is provided for informational purposes as it represents the full range that is applicable to current employees in this occupation/grade; however, a selectee's initial pay is always set below the maximum rate of the range. Please click here for additional information.
To ensure compliance with an applicable preliminary nationwide injunction, which may be supplemented, modified, or vacated, depending on the course of ongoing litigation, the Federal Government will take no action to implement or enforce the COVID-19 vaccination requirement pursuant to Executive Order 14043 on Requiring Coronavirus Disease 2019 Vaccination for Federal Employees. Therefore, to the extent a Federal job announcement includes the requirement that applicants must be fully vaccinated against COVID-19 pursuant to E.O. 14043, that requirement does not currently apply. Federal agencies may request information regarding the vaccination status of selected applicants for the purposes of implementing other workplace safety protocols, such as protocols related to masking, physical distancing, testing, travel, and quarantine.
Reasonable Accommodation: If you are an applicant who needs a reasonable accommodation for disability to participate in the application process at the SEC, submit the form for Reasonable Accommodation for Participation in Job Application Process here. Please be sure to submit your request at least 5 business days in advance of the date you need the requested accommodation.
Equal Employment Opportunity (EEO) Information for SEC Job Applicants: Federal EEO laws protect all applicants from discrimination on the following bases: race, color, sex (not limited to conduct which is sexual in nature, includes pregnancy, gender identity, sexual orientation, transgender status), age (40 and over), religion, national origin, disability, genetic information, retaliation for participating in the EEO process or opposing discrimination. Applicants who believe they have been discriminated against on any EEO basis can seek recourse through the SEC's administrative complaints process. To be timely, an individual must enter the EEO process within 45 days from when they know (or should have known) of the alleged discrimination. Click here for additional information.
TTY/ASCII: Video Relay Service users are welcome to contact the appropriate SEC office or employee via the contact information listed above. If you do not otherwise have access to a Video Phone or Video Relay service, you may send us an email or use the Federal Video Relay Service via the internet. For more information about using the Federal Relay Service and to create a new account, please see: https://www.federalrelay.us/
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. Opens in a new windowLearn more about federal benefits.
Eligibility for benefits depends on the type of position you hold and whether your position is full-time, part-time or intermittent. Contact the hiring agency for more information on the specific benefits offered.
How You Will Be Evaluated
You will be evaluated for this job based on how well you meet the qualifications above.
We will review your resume and supporting documentation to determine if you meet the minimum qualifications for the position. If you meet the minimum qualifications stated in the vacancy announcement, we will compare your resume and supporting documentation to your responses on the scored occupational questionnaire. Your resume must support your responses to the scored occupational questionnaire. After the announcement closing date, an HR specialist will determine if you meet the minimum qualifications described in the Qualifications Section. If you are determined to meet the minimum qualifications, you will receive an email asking you to respond to the core and technical qualifications listed below. You must provide your responses within the established deadline.
You will be rated on the following Competencies:
Core Qualifications:
- Management Experience: Experience designing and implementing strategies which maximize employee potential and foster high ethical standards in meeting the organization's vision, mission, and goals.
- Leading Change/Achieving Results: Experience developing and implementing an organizational vision which integrates key national and program goals, priorities, values, and other factors of that organization. Examples should include experience implementing change in his/her organization, exercising leadership and motivating managers to incorporate vision and strategic planning into the process.
- Building Coalitions/Communications: Experience explaining, advocating, and expressing facts and ideas (both orally and in writing) in a convincing manner. Experience working with the press, political appointees, Congress, and other high-level organizations and staff on various types of important national issues. Experience includes working in groups and teams conducting briefings with outside groups and gaining cooperation from others to obtain information and accomplish goals.
Technical Qualifications:
The Assessment Questionnaire will take you approximately 20 minutes to complete. To preview the Assessment Questionnaire, click the following link https://apply.usastaffing.gov/ViewQuestionnaire/11386642.
- Knowledge and understanding of the Securities Act of 1933, the Securities Exchange Act of 1934, the Investment Company Act of 1940, and the Investment Advisers Act of 1940.
- Knowledge of and exposure to the operations and/or the examination of clearing agencies, broker-dealers, transfer agents, investment advisers and investment companies.
- Ability to analyze complex problems and devise innovative solutions.
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. Opens in a new windowLearn more about federal benefits.
Eligibility for benefits depends on the type of position you hold and whether your position is full-time, part-time or intermittent. Contact the hiring agency for more information on the specific benefits offered.
Required Documents
As a new or existing federal employee, you and your family may have access to a range of benefits. Your benefits depend on the type of position you have - whether you're a permanent, part-time, temporary or an intermittent employee. You may be eligible for the following benefits, however, check with your agency to make sure you're eligible under their policies.
You must provide a complete Application Package, which includes:
- Required: Your responses to the Occupational Questionnaire.
- Required: Your complete and comprehensive resume that includes a complete history of your work experience and the applicable employment dates with months and years. To determine if you qualify for this position, OHR will review your work history that is relevant to the specific position for which you applied. If you are an external candidate selected for this position, OHR will review your complete work history to establish your starting salary. If you are a current SEC employee selected for this position, the standard percentage increases will be applied (i.e., 6% for non-supervisory and 8% for supervisory positions) if your selection results in a promotion. If your selection results in lateral movement (i.e. no change in grade) you will maintain your current salary. Note: Your resume must directly address the definition of specialized experience listed in the qualification section of this announcement and must NOT contain pictures.
- Required, if applicable: Veteran's Preference Documentation (DD-214, Member Copy 4 or other documentation containing dates of service and character of discharge. Disabled veterans and other applicants eligible for 10-point Veteran's Preference please include: documentation to validate your claim - VA letter, SF-15, etc).
How to Apply
To apply for this position, you must complete the online application and submit the documentation specified in the Required Documents section below.
A complete application package must be submitted by 11:59 PM (EST) on the closing date of the announcement to receive consideration.
- To begin, click Apply to access the online application. You will need to be logged into your USAJOBS account to apply. If you do not have a USAJOBS account, you will need to create one before beginning the application.
- Follow the prompts to select your résumé and/or other supporting documents to be included with your application package. You will have the opportunity to upload additional documents to include in your application before it is submitted. Your uploaded documents may take several hours to clear the virus scan process.
- After acknowledging you have reviewed your application package, complete the Include Personal Information section as you deem appropriate and click to continue with the application process.
- You will be taken to the online application which you must complete in order to apply for the position. Complete the online application, verify the required documentation is included with your application package, and submit the application.
To verify the status of your application, log into your USAJOBS account (https://my.usajobs.gov/Account/Login), all of your applications will appear on the Welcome screen. The Application Status will appear along with the date your application was last updated. For information on what each Application Status means, visit: https://www.usajobs.gov/Help/how-to/application/status/.
If you are unable to apply online or need to fax a document you do not have in electronic form, view the following link for information regarding an Alternate Application.
Agency contact information
Donna Quarles
- Address
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Los Angeles Regional Office
444 South Flower Street
Suite 900
Los Angeles, CA 90071
US
Next steps
You will be notified of your application status through USAJOBS at four points during the hiring process, as applicable. You can check the status of your application by accessing the USAJOBS website at http://usajobs.gov/ and clicking on "Track Your Online Application."
By submitting your application, you are certifying the accuracy of the information contained in your application. If you make a false statement in any part of your application, you may not be hired, you may be terminated after you begin work, or you may be fined or jailed. After making a tentative job offer, we will conduct a suitability/security background investigation. You will be required to submit official documentation before appointment. The agency will then verify the information provided on your application (i.e., degree, Veterans' Preference, certification of disability, etc.).
Fair and Transparent
The Federal hiring process is set up to be fair and transparent. Please read the following guidance.
Help
Required Documents
You must provide a complete Application Package, which includes:
- Required: Your responses to the Occupational Questionnaire.
- Required: Your complete and comprehensive resume that includes a complete history of your work experience and the applicable employment dates with months and years. To determine if you qualify for this position, OHR will review your work history that is relevant to the specific position for which you applied. If you are an external candidate selected for this position, OHR will review your complete work history to establish your starting salary. If you are a current SEC employee selected for this position, the standard percentage increases will be applied (i.e., 6% for non-supervisory and 8% for supervisory positions) if your selection results in a promotion. If your selection results in lateral movement (i.e. no change in grade) you will maintain your current salary. Note: Your resume must directly address the definition of specialized experience listed in the qualification section of this announcement and must NOT contain pictures.
- Required, if applicable: Veteran's Preference Documentation (DD-214, Member Copy 4 or other documentation containing dates of service and character of discharge. Disabled veterans and other applicants eligible for 10-point Veteran's Preference please include: documentation to validate your claim - VA letter, SF-15, etc).
Help
To verify the status of your application, log into your USAJOBS account (https://my.usajobs.gov/Account/Login), all of your applications will appear on the Welcome screen. The Application Status will appear along with the date your application was last updated. For information on what each Application Status means, visit: https://www.usajobs.gov/Help/how-to/application/status/.
If you are unable to apply online or need to fax a document you do not have in electronic form, view the following link for information regarding an Alternate Application.
Learn more about this agency
How to Apply
To apply for this position, you must complete the online application and submit the documentation specified in the Required Documents section below.
A complete application package must be submitted by 11:59 PM (EST) on the closing date of the announcement to receive consideration.
- To begin, click Apply to access the online application. You will need to be logged into your USAJOBS account to apply. If you do not have a USAJOBS account, you will need to create one before beginning the application.
- Follow the prompts to select your résumé and/or other supporting documents to be included with your application package. You will have the opportunity to upload additional documents to include in your application before it is submitted. Your uploaded documents may take several hours to clear the virus scan process.
- After acknowledging you have reviewed your application package, complete the Include Personal Information section as you deem appropriate and click to continue with the application process.
- You will be taken to the online application which you must complete in order to apply for the position. Complete the online application, verify the required documentation is included with your application package, and submit the application.
To verify the status of your application, log into your USAJOBS account (https://my.usajobs.gov/Account/Login), all of your applications will appear on the Welcome screen. The Application Status will appear along with the date your application was last updated. For information on what each Application Status means, visit: https://www.usajobs.gov/Help/how-to/application/status/.
If you are unable to apply online or need to fax a document you do not have in electronic form, view the following link for information regarding an Alternate Application.
Agency contact information
Donna Quarles
- Address
-
Los Angeles Regional Office
444 South Flower Street
Suite 900
Los Angeles, CA 90071
US
Next steps
You will be notified of your application status through USAJOBS at four points during the hiring process, as applicable. You can check the status of your application by accessing the USAJOBS website at http://usajobs.gov/ and clicking on "Track Your Online Application."
By submitting your application, you are certifying the accuracy of the information contained in your application. If you make a false statement in any part of your application, you may not be hired, you may be terminated after you begin work, or you may be fined or jailed. After making a tentative job offer, we will conduct a suitability/security background investigation. You will be required to submit official documentation before appointment. The agency will then verify the information provided on your application (i.e., degree, Veterans' Preference, certification of disability, etc.).
Fair & Transparent
The Federal hiring process is set up to be fair and transparent. Please read the following guidance.
Beginning of a dialog window for the agency announcing this job. It begins with a heading 2 called "Learn more about Field Operating Offices of the Office of the Secretary of the Army". Escape will cancel and close the window.
Learn more about
Securities and Exchange Commission
The U.S. Securities and Exchange Commission is looking for the best and brightest to join our team. Our mission includes advocating for investors who seek to secure a future for their family, providing guidance and regulations for the nation's securities industry in an increasingly global market, and taking action with an eye toward promoting the capital formation necessary to sustain economic growth.
A career with the Securities and Exchange Commission (SEC) offers work that is exciting, challenging and rewarding. You can contribute to securities regulation and enforcement while making a positive difference for the American investing public. The SEC provides:
- Careers that broaden and deepen your already accomplished knowledge, skills and abilities;
- An environment that allows you to work and learn with the nation's experts;
- Benefits, compensation and career expansion opportunities; and
- A balance between your professional and family life.
- Paid dental and vision insurance;
- Subsidy for health insurance, which supplements your health benefits premiums by $29.81 for self-only coverage, $55.69 for self plus one, and $59.61 for family coverage;
- Domestic Partner Health Insurance Reimbursement Program;
- Mass transportation subsidy;
- "WorkSmart" - Opportunities for flexible work schedules and telework
Agency contact information
Donna Quarles
- Address
-
Los Angeles Regional Office
444 South Flower Street
Suite 900
Los Angeles, CA 90071
US