Exam Manager

About the role

The Division of Examinations is seeking a Supervisory Attorney-Adviser (Exam Manager) in the Office of Broker-Dealers (BDX)-East and Office of Broker-Dealers (BDX)-New York. You will join a well-respected team that is responsible for supporting EXAMS' mission to conduct and coordinate the nationwide examination program for entities over which the Commission has regulatory authority. Applicants are responsible for confirming all required materials are submitted by the closing date of the announcement. Please check the How You Will Be Evaluated and Required Documents sections carefully, as missing documents will render the application incomplete and ineligible for review. 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. Qualifying education must have been obtained from an accredited college or university recognized by the U.S. Department of Education. All qualification requirements must be met by the closing date of this announcement. BASIC REQUIREMENT: All applicants must possess the following J.D. or LL.B. degree --AND-- 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. MINIMUM QUALIFICATION REQUIREMENT: In addition to meeting the basic requirement, applicants must also meet the minimum qualification requirement. SK-15 : Applicant must have one year of specialized experience equivalent to the GS/SK-13 level. Specialized experience includes: Providing legal advice on federal securities laws and compliance issues as they relate to securities-related financial institutions such as broker-dealers, transfer agents, municipal advisers, security-based swap dealers or self-regulatory organizations and funding portals; AND Preparing reports of findings; and/or leading teams of staff with varying backgrounds (e.g., legal, accounting, examining) and experience; AND Identifying emerging risks and issues affecting financial institutions, market intermediaries, and participants and producing written reports. ACCOMPLISHMENT RECORD COMPETENCIES: Your Accomplishment Record narratives should address the following competencies. See the How You Will Be Evaluated section below for more information: Examwork: Effectively conducts examwork activities (whether onsite, correspondence, etc.) in a professional manner to procure information from an entity under examination. Information Gathering: Ability to gather and process large amounts of information and make connections to understand possible deficiencies. Critical Thinking: Considers a variety of factors, general and subject matter-specific, when making decisions and determining next steps in a case. Teamwork and Collaboration: Interacts with internal and external others in a manner that advances examinations and agency goals and objectives.

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