Assistant Director

The Division of Examinations (EXAMS) Office of the Chief Counsel is seeking a Supervisory Securities Compliance Examiner (Assistant Director), SK-1831-17 and will be located in one of the listed locations. As an Assistant Director for the Office of Compliance within EXAMS' Office of Chief Counsel, you will lead a team responsible for carrying out the duties of Compliance for the Division of Examinations.

In this role as an Assistant Director, you will be responsible for: Serving as senior manager directing and managing the Compliance Group, including assessing policy, program, and project feasibility and determining and implementing compliance and operational-risk related program goals; Planning and assigning work to members of the Compliance Group and evaluating such work, advising on program goals and objectives, making decisions on work problems, and organizing and monitoring the flow of work for the group in order to achieve the most effective results within a complex environment; Supervising the development and implementation of policy regarding the examination process as well as periodic reviews of examination policies and procedures; Planning, formulating, and executing compliance oversight for the examination program through ongoing monitoring, testing, and ad hoc reviews to help ensure compliance with Division policies and procedures and to foster consistency in approach and application of exam policy across the examination program; Leading EXAMS's program for identifying, assessing and mitigating operational risk and represent EXAMS in agency-wide operational risk initiatives; Managing the management assurance process and the assessment process to comply with Section 961 of the Dodd-Frank Wall Street Reform and Consumer Protect Act; Presenting to EXAMS senior management on a periodic basis regarding compliance matters; and Developing and executing a training program and communication strategy for examination staff on policies and procedures.