Washington, D.C
Sep 10, 2020
Sep 18, 2020
Full Time


If selected, you will join a well-respected team in the Enforcement Division's Office of Market Intelligence (OMI) and provide support for intelligence and analytical programs, including the intake, analysis, and evaluation of thousands of tips, complaints, and referrals (TCRs) that the SEC receives each year.
Learn more about this agency


The Division of Enforcement investigates possible violations of securities laws, recommends Commission action when appropriate, either in a federal court or before an administrative law judge, and litigates or negotiates settlements.

The Office of Market Intelligence is responsible for the intake, review, and analysis of tips, complaints, and referrals and other data and intelligence to identify misconduct, market practices and activities that pose potential risks to investors and/or may lead to Enforcement action or other response.

Typical Duties Include:
  • Providing management with support administering and executing the entry, intake, and early stage triage and referral functions of the TCR Review Program and other TCR and OMI program activities and/or data and technology functions.
  • Supporting TCR program management and operations including reporting, tracking and monitoring, training, assignments and workflow, and communications.
  • Performing and monitoring the entry, intake, data quality, and preliminary review and assessment process, and assignment of TCRs.
  • Monitoring and assessing the effectiveness, productivity, and efficiency of TCR intake and triage operations and providing management with support relating to TCR operations, contractor support, stakeholder and user support, communications and reports, and other functions.
  • Developing and implementing new or improved business processes and procedures and operations, reports, and management practices and facilitating business process improvements.
  • Preparing and maintaining office and agency wide program materials training guides, job aids, templates, policies and procedures, workflow charts, schedules, and other materials.
  • Answering questions, reviewing and interpreting information and data, providing guidance and training, and collaborating and communicating with OMI and other SEC staff and external parties on matters relating to TCR program operations and activities.
  • Preparing reports, dashboards, presentations, briefings, analysis, and other materials related to TCR Review Program operations and performance for senior leadership. Supporting the development of intelligence or analytical products and reports or other special projects.
  • Additional responsibilities may be assigned as needed.

Travel Required

Not required

Supervisory status

Promotion Potential


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-14.
  • 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.


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

Time-in-grade for this announcement is one year at the GS/SK-12 level.

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: SK-13: Applicant must have at least one year of specialized experience equivalent to the GS/SK-12 level: (1) Experience working with the agency's Tips, Complaints and Referrals (TCR) system to intake, process, and track information or data; (2) communicating information to internal and external audiences and (3) planning, organizing, prioritizing, and coordinating a variety and multitude of matters.


Additional information

Disability Employment: For information on disability appointments, please visit

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.

*SEC EMPLOYEES: OHR will verify your competitive service eligibility via the SEC's personnel database.

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

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:

How You Will Be Evaluated

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

Your resume and supporting documentation will be used to determine whether you meet the job qualifications listed on this announcement. If you are basically qualified for this job, your resume and supporting documentation will be compared to your responses on the Occupational Questionnaire. If you rate yourself higher than is supported by your application materials, your responses may be adjusted and/or you may be excluded from consideration for this job. If you are found to be among the top candidates, you will be referred to the selecting official for employment consideration.

Your qualifications will be evaluated on the following competencies (knowledge, skills, abilities and other characteristics):
  • Oral Communication, Planning and Organizing, Problem Solving, Technical Competence, and Written Communication
  • Experience providing or the ability to provide support for the administration or execution of agency programs or projects (for example, program or project management, policy and procedure oversight and development, business process improvements, internal and external communications, training, or reporting).
  • Ability to prepare high quality written work product and to present information in a clear, concise and technically accurate manner.
  • Ability to research and logically analyze, synthesize, and judge information.
  • Ability to work on multiple projects and review and incorporate multiple sources of information in performing assignments while maintaining a high level of organization and attention to detail.
  • Ability to provide guidance and training on operational tasks.
  • Ability to establish and track metrics or indicators and evaluate (on a qualitative or quantitative basis) the effectiveness of program operations in meeting established goals and objectives.
The Occupational Questionnaire will take you approximately 10 minutes to complete. To preview the Occupational Questionnaire, click the following link .

Background checks and security clearance

Security clearance

Drug test required

Position sensitivity and risk
Moderate Risk (MR)

Trust determination process

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. For external candidates: Information on how your resume will be used for pay setting purposes can be found here .
  • Required, if you are a current or former Federal employee*: A recent copy of an SF-50, Notification of Personnel Action, showing title, series, grade, and full performance level (FPL). Your SF-50 must also demonstrate your eligibility for a competitive service position.
  • 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.)

If you are relying on your education to meet qualification requirements:

Education must be accredited by an accrediting institution recognized by the U.S. Department of Education in order for it to be credited towards qualifications. Therefore, provide only the attendance and/or degrees from schools accredited by accrediting institutions recognized by the U.S. Department of Education .

Failure to provide all of the required information as stated in this vacancy announcement may result in an ineligible rating or may affect the overall rating.

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