Assistant Director

Assistant Director

Help 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. If selected, you will join a well-respected team that is responsible for supporting EXAMS' mission to conduct and coordinate the examination program for certain SROs over which the Commission has regulatory authority. In this role as an Assistant Director, you will be responsible for:

• Planning and assigning work, advise on program goals and objectives, making decisions on work problems, and organizing and monitoring the flow of work for the assigned programs in order to achieve the most effective results within a complex environment;
• Directing staff performing extensive and extremely complex inspections or examinations, working with the field offices, reviewing reports and recommendations;
• Providing advice on novel questions, analyzing industry trends, and following-up to ensure that recommendations are implemented by the industry; Attend and participate, in the capacity of legal adviser and counselor, in meetings and conferences where crucial policy formulation, procedural development, and program planning matters are discussed and agency positions developed;
• Providing executive leadership and management of the staff and work products by maintaining and exhibiting knowledge, insight, and understanding of the assigned specialized segment of the market; monitoring new or unchartered marketing or financial techniques and developments that impacts SEC decisions; and
• Representing the agency in high level meetings, conferences, and presentations involving a wide range of participants such as regulatory or law enforcement agencies; state, local, national, or international government offices; private industry; and the academic community.