The Division of Examinations (Exams) is seeking to fill the role of Associate Director within the Office of Investment Adviser and Investment Company Examinations (IA/IC). This leadership position is based in the Fort Worth Regional Office, which oversees examination activity across Texas, Oklahoma and Arkansas. The Associate Director plays a critical role in shaping and implementing the Division's examination strategy for registrants in the Fort Worth area of responsibility.
The Associate Director (Exams) leads and manages the IA/IC Examination Program under the general direction of the National Associate Director(s). The incumbent serves as a senior advisor to National leadership on examination priorities, risk areas, and program strategy for registrants in the Fort Worth area of responsibility. Key responsibilities include: Supervising the IA/IC staff in the Fort Worth Regional Office.
Developing, planning, and implementing policies, procedures, and guidance governing risk assessment and examinations of investment advisers and investment companies. Overseeing the execution of examination goals Engaging in high-level discussions and decision-making across all aspects of the examination program, both within the Division and across the Commission.
Providing leadership and direction on complex and sensitive legal matters arising during examinations and offering authoritative legal advice related to statutes, rules, and regulatory practices within the SEC's jurisdiction. Representing the Division and the Commission at interagency working groups, industry conferences, law enforcement programs, and academic or professional events.
Advising senior leadership across the Division and the Commission; collaborating with federal, state, local, and international regulatory partners; and engaging with private-sector stakeholders on matters with significant regulatory impact. Serving as a subject-matter authority on examinations of investment advisers and investment companies, including emerging risks, evolving industry practices, and market developments
You MUST provide transcripts or other documentation to support your educational claims. Unless otherwise stated: (1) official or unofficial transcripts are acceptable, or (2) you may submit a list with all your courses, grades, semester, year, and credit for the course. If you are qualifying for this position by substituting education or training for experience, you must submit a copy of your unofficial transcripts or equivalent by the closing date of the announcement.
Qualifying education must have been obtained from an accredited college or university recognized by the U.S. Department of Education. Internal Applicants: OHR will verify education qualifications for internal applicants using documents in the Electronic Official Personnel Folder (eOPF). If required transcripts or certificates are not present in your eOPF, you will be required to provide them to OHR.
If selected, a start date will not be established until official transcripts are received. FOREIGN EDUCATION: If you are using education completed in foreign colleges or universities to meet the qualification requirements, you must show the education credentials have been evaluated by a private organization that specializes in interpretation of foreign education programs. For more information, click here.
Applicants may also find the following helpful: National Association of Credential Evaluation Services (NACES) is an association of 19 credential evaluation services with admission standards and an enforced code of good practice. Association of International Credentials Evaluators (AICE) is an association of 10 credential evaluation services with a board of advisors and an enforced code of ethics.
This position is with Securities and Exchange Commission, Other Agencies and Independent Organizations.
The posted pay range is $207830 – $315481/yr.
This position requires a Other security clearance.
Applications close on 2026-09-14.
This position is open under the 'Public' hiring path.
Source: USAJOBS.gov — U.S. Federal Government
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