Position Information


The Office of Compliance Inspections and Examinations (OCIE) conducts the SEC's National Exam Program. OCIE's mission 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 OCIE's examinations are used by the SEC to inform rule-making initiatives, identify and monitor risks, improve industry practices and pursue misconduct.

The Managing Executive is responsible for all operational aspects of OCIE, including programmatic and organizational planning, human capital management, procurement, budgeting, administrative services, project management, and risk management. The Managing Executive is also responsible for leading change across OCIE's national program. The incumbent will assess, recommend and implement efficient business process improvement projects to optimize OCIE's workflow processes and enhance OCIE's knowledge and content management capabilities. The incumbent has the overall responsibility, as well as delegated authority, for the oversight and administration of broad, emerging, and/or critical agency programs or operations. Primarily responsible for the direction and management of large-scale agency programs and operations to efficiently achieve specified goals and objectives.

Typical Duties Include:

Serving as a primary agency advisor on various programs and events. Counseling senior management staff and officials at multiple levels of SEC; senior staff of other Federal, state, and local government agencies; and private sector clients and vendors on agency matters. Advising on the appropriate methods and techniques to use in order to achieve program goals and objectives.

Participating with appropriate organizational components across the SEC in planning and evaluating the overall program of the Commission.

Serving on inter-agency, national, and/or international special work groups, task forces, or expert panels on special projects or studies critical to the resolution of far-reaching operating issues and problems.
Serving as a liaison with other Agency components on regional and other business and governance matters to effectively carry out the business affairs of OCIE.

Developing, conceiving, planning, and implementing policies and guidelines affecting broad, emerging, and/or critical agency programs. Translating new legislation into program goals, actions, and policies, interpreting the impact of new legislative requirements on agency programs. Understanding the impact of Agency rule-making on staffing and organizational needs of OCIE.

Managing changes to the organization or major changes to the structure and content of program areas as directed by senior managers.

Providing management and consulting services to top executives of the agency on internal business process improvements to improve the effectiveness of major agency operations and functions.

Developing and implementing programmatic or new strategic initiatives, and proposing policy recommendations on matters concerning the business and infrastructural support of OCIE.

Analyzing complex problems and devising innovative solutions including applying project management principles, supervising, monitoring and evaluating the project, and resolution of difficult problems encountered in planning, development and operations.

Overseeing strategic planning and management reporting and monitoring systems.

Organization: Office of Compliance Inspections and Examinations
Location: Washington,  DC 
United States
Salary: $190,564 to $259,981
Posting Start Date: 8/25/2020
Date Posted: 8/25/2020
  • 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 may be 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.


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 REQUIREMENTSO-01: Applicant must have at least one year of specialized experience equivalent to the GS/SK-14 leve

1. Managing a legal, audit/examination, financial or regulatory organization including experience in the following functional areas: a) time and resource budgeting; b) human capital management; c) planning and executing information technology or process improvement initiatives; and d) operational or external-facing risk management; and

2. Developing and refining organizational policies, processes and measurements to assess and improve with innovative strategies and plans the efficiency and effectiveness of the organization's operations.

To apply for this position, you must complete the online application and submit the documentation specified in the Required Documents section below.

A complete application package must be submitted by 11:59 PM (EST) on the closing date of the announcement to receive consideration.

  • To begin, click Apply to access the online application. You will need to be logged into your USAJOBS account to apply. If you do not have a USAJOBS account, you will need to create one before beginning the application.

  • Follow the prompts to select your résumé and/or other supporting documents to be included with your application package. You will have the opportunity to upload additional documents to include in your application before it is submitted. Your uploaded documents may take several hours to clear the virus scan process.

  • After acknowledging you have reviewed your application package, complete the Include Personal Information section as you deem appropriate and click to continue with the application process.

  • You will be taken to the online application which you must complete in order to apply for the position. Complete the online application, verify the required documentation is included with your application package, and submit the application.

To verify the status of your application, log into your USAJOBS account (https://my.usajobs.gov/Account/Login), all of your applications will appear on the Welcome screen. The Application Status will appear along with the date your application was last updated. For information on what each Application Status means, visit: https://www.usajobs.gov/Help/how-to/application/status/.

If you are unable to apply online or need to fax a document you do not have in electronic form, view the following link for information regarding an Alternate Application.

Status: This listing expires on: 9/24/2020
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Organization Information
Office of Compliance Inspections and Examinations
100 F Street NE

Washington,  DC 20549
United States
Donna Quarles