Fourth Report On The Implementation Of Sec Organizational Reform Recommendations - U.s. Securities And Exchange Commission - 2013 Page 21
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37F
R
I
SEC O
R
R
OURTH
EPORT ON THE
MPLEMENTATION OF
RGANIZATIONAL
EFORM
ECOMMENDATIONS
NEP Focus Area 1 – Resource Allocation
• During the first quarter of FY13, the NEP continued to allocate new hiring authority and
vacancies to the programs and offices with the greatest need.
Using a risk-based
approach to identify those needs, the NEP has hired 62 new examiners and support
personnel. NEP hired a Training Manager to work with SECU and NEP management to
revamp the examiner training program, both in terms of technical content and delivery
mechanisms. The NEP also hired a Communications Manager to develop and implement
an effective internal communications strategy for the NEP, leveraging existing processes
and new technologies to inform and educate staff across the country.
NEP Focus Area 2 – Risk Assessment Process
• The NEP continues to enhance and improve its shared, national risk framework and its
communication with Commission Divisions and Offices, as well as other regulators.
NEP Focus Area 3 – Clarification of Roles and Responsibilities
• The NEP implemented several organizational and process changes to clarify roles and
responsibilities for its major programs. The NEP Leadership Team continues to utilize
the established governance process to review and clarify the roles of the Home Office and
regions.
Regional Operations Subcommittee
As reported in the Third Report to Congress, The Regional Operations Subcommittee evaluated
the SEC’s regional operating model to improve how the SEC manages and supports operational
functions (i.e., human capital, financial management, information technology, facilities, and
security) in its Regional Offices. Its assessment considered the optimal alignment of
responsibilities among Regional Offices, the Enforcement and Exam national programs, and
support functions, as well as the clarification of the roles and responsibilities of the Assistant
Regional Director of Operations (ARDO) position. The subcommittee worked with the Office of
the Chief Operating Officer (OCOO), ENF and OCIE senior leadership to clarify roles and
responsibilities between Regional Offices, Home Office, and the OCOO.
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