Duties

Summary

The Division of Corporation Finance is seeking to fill the position of Deputy Director, Disclosure Program. The position is located in Washington, DC.
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Responsibilities

The Deputy Director, Disclosure Program works closely with the Division Director to clearly define the goals of the Division's selective review of filings made under the Securities Act of 1933 and the Securities Exchange Act of 1934. The Deputy leads the efforts of the four offices that make up the Disclosure Program including the offices of Assessment and Continuous Improvement, Disclosure Review, Risk and Strategy, and Specialized Policy and Disclosure. These offices work together to identify areas of risk that require close monitoring, implement changes to increase the efficiency and effectiveness of review related business processes, and to monitor and enhance compliance with the applicable disclosure and accounting requirements.

Typical Duties Include:

• Establishing review goals and leading the Disclosure Program to efficiently achieve specified goals and objectives. Maintaining policies, procedures, and resources to reflect current priorities; and developing new policies and procedures in response to emerging trends, changing priorities and new legislation. Encouraging flexible approaches to considering transactions and disclosure requirements while maintaining investor protection.
• Providing strategic direction and leadership in the Division's Disclosure Program, and working with direct reports in charge of the program's activities to resolve issues and effect change.
• Identifying and implementing new technologies and analytical methods, including machine learning techniques and artificial intelligence tools, aimed at improving overall compliance with applicable laws and regulations and creating efficiencies in business processes.
• Leading a responsive and nimble organization to answer interpretive questions and provide informal advice on the registration and reporting provisions of the Securities Act of 1933, the Securities Exchange Act of 1934, the Trust Indenture Act of 1939, and other statutes with federal securities law requirements.
• Collaborating with other Division offices to enhance the effectiveness of filing review policies and procedures and individual filing review outcomes.
• Maintaining the Division's outreach and consultation efforts to inform our work to facilitate capital formation and enhance investor protection.

Travel Required

Occasional travel - You may be expected to travel for this position.

Supervisory status
Yes

Promotion Potential
2

Requirements

Conditions of Employment

• You must be a US Citizen.
• Application procedures are specific to this vacancy announcement. Please read all the instructions carefully. Failure to follow the instructions may result in you not being considered for this position.
• Supplementary vacancies may be filled in addition to the number stated in this announcement.
• This position has promotion potential to the SO-02.
• PROBATIONARY PERIOD: This appointment may require completion of a two year supervisory/managerial probationary period.
• SECURITY CLEARANCE: Entrance on duty is contingent upon completion of a pre-employment security investigation. Favorable results on a Background Investigation may be a condition of employment or selection to another position.
• DRUG TESTING: This position may be subjected to drug testing requirements.
• PERMANENT CHANGE OF STATION (PCS): Moving/Relocation expenses are not authorized.
• DIRECT DEPOSIT: All Federal employees are required to have Federal salary payments made by direct deposit to a financial institution of their choosing.
• This position is not in the collective bargaining unit.
• For consideration at the SO-2 level, you must currently hold a SO-2 position within the SEC.
• Due to COVID-19, the SEC is currently in an optional telework posture. This position is eligible to request telework in accordance with the SEC 's telework policy.
• All SEC employees (whether teleworking or working onsite) who are not approved for a reasonable accommodation must be fully vaccinated against COVID-19 by no later than Nov. 22, 2021.
• For information about where to obtain a vaccine at no cost to you, please visit Vaccines.gov.

Qualifications

All qualification requirements must be met by the closing date of this announcement.

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.

MINIMUM QUALIFICATION REQUIREMENT: In addition to meeting the basic requirement, applicants must also meet the minimum qualification requirement

SO-01: Applicant must have at least one year of specialized experience equivalent to the GS/SK-14 level. Specialized experience includes the following:

Overseeing the review of public company SEC filings made under the Securities Act of 1933 and Exchange Act of 1934; AND

Providing advice and/or recommending the resolution of legal or accounting reporting issues as it relates to the 1933 and 1934 Acts, U.S. GAAP, IFRS, and other interpretative regulatory documents; AND

Managing, or assisting in the management of a legal, financial, or regulatory organization involving the securities markets or securities regulation, including managing staff or operations; AND

Establishing a framework for conducting operations in compliance with internal controls and/or developing and implementing innovative strategies and plans involving the securities markets or securities regulation within a controlled environment.

Education

This job does not have an education qualification requirement.

Additional information

SECURITIES AND EXCHANGE COMMISSION (SEC) VACCINATION REQUIREMENT: In accordance with Executive Order 14043 (Requiring Coronavirus Disease 2019 Vaccination for Federal Employees) and to protect the health and safety of the federal workforce, all SEC employees (whether teleworking or working onsite) must be fully vaccinated against COVID-19 no later than Nov. 22, 2021. If selected for this position, you will be asked to attest to your current vaccination status and provide a copy of the documentation to support your vaccination status. Additionally, if selected, you may request an exemption from the mandatory vaccination due to a qualifying disability or medical condition, or a sincerely held religious belief, practice or observance. If you have additional questions pertaining to the SEC's vaccination policy, email askHR at askHR@sec.gov .

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.

TTY/ASCII: Video Relay Service users are welcome to contact the appropriate SEC office or employee via the contact information listed above. If you do not otherwise have access to a Video Phone or Video Relay service, you may send us an email or use the Federal Video Relay Service via the internet. For more information about using the Federal Relay Service and to create a new account, please see: https://www.federalrelay.us/

SEC COMPENSATION PROGRAM: For questions regarding SEC pay setting practices, please click here .

How You Will Be Evaluated

You will be evaluated for this job based on how well you meet the qualifications above.

We will review your resume and supporting documentation to determine if you meet the minimum qualifications for the position. If you meet the minimum qualifications stated in the vacancy announcement, we will compare your resume and supporting documentation to your responses on the scored occupational questionnaire. Your resume must support your responses to the scored occupational questionnaire. After the announcement closing date, an HR specialist will determine if you meet the minimum qualifications described in the Qualifications Section. If you are determined to meet the minimum qualifications, you will receive an email asking you to respond to the core and technical qualifications. You must provide your responses within the established deadline .

You will be rated on the following Competencies:

Core Qualifications:

Management Experience: Experience designing and implementing strategies which maximize employee potential and foster high ethical standards in meeting the organization's vision, mission, and goals.

Leading Change/Achieving Results : Experience developing and implementing an organizational vision which integrates key national and program goals, priorities, values, and other factors of that organization. Examples should include experience implementing change in his/her organization, exercising leadership and motivating managers to incorporate vision and strategic planning into the process.

Building Coalitions/Communications: Experience explaining, advocating, and expressing facts and ideas (both orally and in writing) in a convincing manner. Experience working with the press, political appointees, Congress, and other high-level organizations and staff on various types of important national issues. Experience includes working in groups and teams conducting briefings with outside groups and gaining cooperation from others to obtain information and accomplish goals.

Technical Qualifications:

Describe your experience interpreting and applying these principles and standards to resolve complex accounting and/or legal issues, particularly as they relate to the securities industry and public company filings.

Describe your experience preparing or reviewing SEC filings, identifying complex and novel issues, and developing appropriate resolutions.

Describe your experience analyzing complex problems and devising innovative solutions.

Describe your experience working with standards, stated policies, and existing market structures to develop creative approaches to problems.

Describe your experience working on complex problems of an operational, business, financial and/or legal nature, identifying key elements of the problems and developing workable solutions.

The Assessment Questionnaire will take you approximately 20 minutes to complete. To preview the Assessment Questionnaire, click the following link https://apply.usastaffing.gov/ViewQuestionnaire/11239159 .

Background checks and security clearance

Security clearance
Other

Drug test required
No

Position sensitivity and risk
High Risk (HR)

Trust determination process
Suitability/Fitness

Required Documents

You must provide a complete Application Package, which includes:

• Required: Your responses to the Occupational Questionnaire.
• Required: Your complete and comprehensive resume that includes a complete history of your work experience and the applicable employment dates with months and years. To determine if you qualify for this position, OHR will review your work history that is relevant to the specific position for which you applied. If you are an external candidate selected for this position, OHR will review your complete work history to establish your starting salary. If you are a current SEC employee selected for this position, the standard percentage increases will be applied (i.e., 6% for non-supervisory and 8% for supervisory positions) if your selection results in a promotion. If your selection results in lateral movement (i.e. no change in grade) you will maintain your current salary. Note: Your resume must directly address the definition of specialized experience listed in the qualification section of this announcement and must NOT contain pictures.
• Required, if applicable: Veteran's Preference Documentation (DD-214, Member Copy 4 or other documentation containing dates of service and character of discharge. Disabled veterans and other applicants eligible for 10-point Veteran's Preference please include: documentation to validate your claim - VA letter, SF-15, etc).