An official website of the United States government
***The job announcement opening period has been extended to 7/12/2024**
The Senior Officer-Associate Regional Director position is in the Chicago Regional Office-Division of Examinations, located in Chicago, IL. This position is open to current SEC employees only.
06/20/2024 to 07/12/2024
$200,988 - $305,096 per year
SO 1
1 vacancy in the following location:
No
Yes—as determined by the agency policy.
Occasional travel - You may be expected to travel for this position.
No
Permanent
Full-time
Competitive
2
Yes
No
24-IN-12448376-TMP
796576700
Current SEC employees in permanent competitive service positions (i.e. status candidates) only.
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 Division of Examinations conducts the SEC's National Exam Program. The Division'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. 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.
The Associate Regional Director, under the immediate supervision of the Regional Director, plans and establishes staffing needs, work streams and policy for the Broker Dealer Examination Program of the Division of Examinations in the Chicago Regional Office (CHRO) and directs, coordinates, controls, and evaluates the performance in this area. The BDX examination program is responsible for conducting exams of broker-dealers, exchanges, clearing agencies, transfer agents, municipal advisors, municipal securities dealers, security-based swaps dealers, funding portals, investment advisors and/or investment companies.
Typical duties include:
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.
Disability Employment: For information on disability appointments, please visit http://www.opm.gov/policy-data-oversight/disability-employment/
*SEC EMPLOYEES: OHR will verify your competitive service eligibility via the SEC's personnel database.
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.
The Fair Chance Act prohibits specific inquiries concerning an applicant's criminal or credit background unless the hiring agency has made a conditional offer of employment to the applicant. An applicant may submit a complaint, or any other information, to the agency within 30 calendar days of the date of alleged non-compliance by contacting the Legal and Policy Office in the Office of Human Resources at ElliottT@sec.gov.
You will be evaluated for this job based on how well you meet the qualifications above.
Your resume and supporting documentation will be used to determine whether you meet the job qualifications listed on this announcement. If you are basically qualified for this job, your resume and supporting documentation will be compared to your responses on the Occupational Questionnaire. All applicants may provide narrative responses (500 words or less per question) addressing the executive (core) and technical qualifications. After the announcement closing date, you will receive an email asking you to respond to the core and technical qualifications. You must provide your responses within the established deadline.
Based on the information provided in the narrative responses and resume, a rating panel will rate/rank candidates and place them in the following quality category groupings:
You must provide a complete Application Package, which includes:
Education must be accredited by an accrediting institution recognized by the U.S. Department of Education in order for it to be credited towards qualifications. Therefore, provide only the attendance and/or degrees from schools accredited by accrediting institutions recognized by the U.S. Department of Education.
Failure to provide all of the required information as stated in this vacancy announcement may result in an ineligible rating or may affect the overall rating.
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.
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.).
The Federal hiring process is set up to be fair and transparent. Please read the following guidance.
This job originated on www.usajobs.gov. For the full announcement and to apply, visit www.usajobs.gov/job/796576700. Only resumes submitted according to the instructions on the job announcement listed at www.usajobs.gov will be considered.
