POSITION DESCRIPTION
The primary function of this managerial position, Associate Regional Director (Examination), is to provide overall management and direction of the examination program of the San Francisco Regional Office. 

The Associate Regional Director will be responsible for overall program management, within the region including reviewing and improving examination policies, procedures, and priorities, and for planning, coordinating and executing the organization's examination and inspection programs. In addition, the Associate Regional Director must foster a culture of open communication with the investment and securities industry members in the region, as well as with the other regional offices in the organization.The Associate Regional Director must also be the driving force in the region behind the broader culture change within the examinations group, creating an environment that is constantly seeking to improve its processes and capabilities.

KEY RESPONSIBILITIES
As assigned by the Regional Director, the principal functions of this office include

• Conducting examinations of broker-dealers, transfer agents, investment companies, investment advisers and self-regulatory organizations as part of the organizations national program for oversight of registered firms
• Assessing the compliance, activities and risks of registered securities firms in the region;
• Providing assistance and information to securities firms and to investors in the region; and
• Providing information and/or assistance to enforcement staff with respect to possible violations of federal securities laws and regulations.

The Associate Regional Director will provide significant leadership, management, and possess strong communication skills (written and oral), as well as knowledge of the federal securities laws applicable to firms that are registered with the Commission.

The Associate Regional Director plans and manages a large and critical agency program and its operations. Program-related activities include personnel management, goal-setting, strategic planning, capital planning and investment control, workforce planning, and resource management. The Associate Regional Director reviews and evaluates organizational activities and advises senior management regarding the setting, accomplishment and evaluation of program goals.

The responsibilities of the Associate Regional Director involve frequent communication with external parties, including other regulators (e.g., state securities regulators, self-regulatory organizations, and other civil and criminal regulators), investors and securities industry organizations, and others. The responsibilities of the Associate Regional Director also involve frequent communication with other SEC staff including staff in the Office of Compliance Inspections and Examinations in Washington, DC.

Further, the Associate Regional Director may be required to assess the economic impact, feasibility, practicality, and effectiveness of existing and/or proposed legislation, standards, regulations, and/or policies in order to develop, review, and/or approve high-level policies that have a broad impact on significant agency programs and/or mission areas.

The Associate Regional Director supervises the planning and implementation of each fiscal year's program for examining/inspecting regulated entities for compliance with applicable federal securities laws.