Duties

Summary

The Office of Compliance Inspections and Examinations administers the SEC's nationwide examination and inspection program for registered self-regulatory organizations, NRSROs, broker-dealers, transfer agents, clearing agencies, investment companies, and investment advisers.

Learn more about this agency

Responsibilities

This position is in the Technology Controls Program (TCP) within the Office of Compliance Inspections and Examinations located in Washington, DC. TCP has primary responsibility for oversight and technology examinations of self-regulatory organizations.

TCP is seeking to fill one position in any of the following locations: Chicago, IL; New York, NY or Washington, DC

As an Information Technology Specialist (INFOSEC), you will:

• Advise an active program with respect to the monitoring of the operations of the securities markets;
• Oversee reviews of computer systems of regulated entities to evaluate systems for the ability to create a fair market environment for trading;
• Develop sound risk management frameworks;
• Assist with the development of policies or procedures to implement new IT security requirements;
• Provide guidance and advice concerning the development of regulatory policies affecting a broad segment of the securities industry;
• Plan and conduct analyses of securities exchange operational practices and requirements to evaluate securities industry computer systems requirements and to improve self-regulatory organizations' response to market activity;
• Develop policies, guidelines, and standards for the planning, development, integration, implementation, and evaluation of information technology systems and subsystems that meet overall information needs of multiple major organization;
• Review proposed new systems, networks, and software designs for potential security risks;
• Maintain knowledge of best practices in information security management, as well as the software/hardware technologies employed in the securities markets and by the SROs; and
• Evaluate the significance of actual and potential cyber security problems, trends, and weaknesses

Travel Required

Occasional travel - You may be expected to travel more than 25%

Supervisory status
No

Promotion Potential
16

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 SK-16.
• PROBATIONARY PERIOD: This appointment may require completion of a one-year 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 in the collective bargaining unit.

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.

BASIC REQUIREMENT: Applicant must possess IT related experience demonstrating each of the four competencies:
reviewing work to ensure it is in line with established standards or to identify deficiencies (Attention to Detail); collaborating with customers to identify their information technology needs or to resolve their hardware and software problems (Customer service); explaining technical information orally to non-technical audiences (Oral Communication); and 4) evaluating alternatives to recommend solutions to hardware or software problems (Problem Solving).

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

SK-16: Applicant must have at least one year of specialized experience equivalent to the GS/SK-14 level:

Performing risk assessments of and/or leading information security operations and IT project management governance processes in the federal government or financial services industry; AND

Advising securities-related financial institutions or financial regulatory organizations on cyber security-related risks, software vulnerabilities, and governance practices including the following: change management, capacity management, or continuity of operations; AND

Briefing Senior Executives and presenting at industry events on cyber security and industry topics

Education

This job does not have an education qualification requirement.

Additional information

SALARY RANGES:

• Chicago, IL
  • SK-16: $146,105 - $240,854
• New York, NY
  • SK-16: $151,821 - $246,900
• Washington, DC
  • SK-16: $147,554 - $243,243

IMPORTANT INFORMATION FOR SURPLUS OR DISPLACED FEDERAL EMPLOYEES: Career Transition Assistance Plan (CTAP) and Interagency Career Transition Assistance Plan (ICTAP) are available to individuals who have special priority selection rights under this plan. Individuals must be well-qualified for this position to receive consideration for special priority selection. CTAP or ICTAP eligibles will be considered well-qualified when receiving an adjudicated score of 80 or higher.

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: http://fedvrs.us/

How You Will Be Evaluated

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

This position is being advertised through the Office of Personnel Management's (OPM) Direct-Hire Authority (5 U.S.C. Section 3304 and 5 CFR Part 337, Subpart B) and is open to All U.S. Citizens. Under this authority, competitive rating, ranking and veterans' preference procedures do not apply.

Those candidates who are referred may also be asked to participate in an interview, as well as an "In-Box Exercise" that is designed to measure your analytical writing capabilities.

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. If it is determined you meet minimum qualification requirements, your application will then be placed in one of three categories: Highly Qualified, Well Qualified, or Qualified. Within these categories, applicants eligible for Veterans' Preference will receive selection priority over non-veteran preference eligibles.

Your qualifications will be evaluated on the following competencies (knowledge, skills, abilities and other characteristics):

• Information Systems/Network Security, Leadership, and Technical Communication

The Occupational Questionnaire will take you approximately 20 minutes to complete. To preview the Occupational Questionnaire, click the following link https://apply.usastaffing.gov/ViewQuestionnaire/10530472 .

Background checks and security clearance

Security clearance
Other

Drug test required
No

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: CTAP/ICTAP documentation (a copy of a separation notice or other proof of eligibility for priority selection; a copy of an SF-50, Notification of Personnel Action, showing current position, grade, promotion potential, and duty location; AND a copy of your most recent performance appraisal.)
• 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).