Duties

Summary

The Office of Investment Advisers and Investment Companies (IA/IC) within the Division of Examinations is filling a position for a Supervisory Securities Compliance Examiner, SK-1831-15 in Washington, DC.
Learn more about this agency

Responsibilities

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

If selected, you will join a well-respected team that is responsible for supporting EXAMS' mission to conduct and coordinate the nationwide examination program for entities over which the Commission has regulatory authority.

As a Supervisory Securities Compliance Examiner, you will:

• Direct employees responsible for working and/or consulting with a variety of individuals conducting examinations;
• Operates or oversees inspections in regards to surveillance and or risk of IA/IC, BD and transfer agents;
• Serve as a member of an examination team in an audit or examination program of a federal, state or regulatory body in the securities or financial services industry;
• Assist in the planning for and conducting of examinations of investment companies/investments advisers, broker-dealers, transfer agents and/or operational surveillance and risk management; and
• Provide expert analysis and review of activities related to the federal securities law requirements completed by a clearing agency, an investment adviser, a broker-dealer or an investment company.

Travel Required

Occasional travel - Travel averages 5 days a month.

Supervisory status
Yes

Promotion Potential
15

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-15
• SUPERVIOSORY PROBATIONARY PERIOD: This appointment may require completion of a two-year supervisory 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 not in the collective bargaining unit.
• Due to COVID-19, the SEC is currently in a mandatory telework posture through September 7, 2021. If selected, you will be permitted to temporarily telework from a location outside the local commuting area.
• Once employees are permitted to return to the office, you will be expected to report to the duty station listed on this announcement within 60 days. At that time, you will be eligible to request telework in accordance with the SEC 's telework policy
• Typical Examiner Travel: Examination staff routinely travel to the offices of registered entities to conduct on-site inspections of facilities, to meet with and interview entity personnel, and to examine certain business records.

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.

MINIMUM QUALIFICATION REQUIREMENT:
SK-15: Applicant must have at least one year of specialized experience equivalent to at least the GS/SK-13 level. Specialized experience includes the following:

Auditing, examining, or investigating principles, techniques, and practices that involve the review and evaluation of procedures, records and practices of registered broker-dealers; investment advisers; investment companies; transfer agents; private equity and hedge funds; and/or other registered entities; AND

Preparing reports of findings; and/or leading teams of staff with varying backgrounds (e.g., legal, accounting, examining) and experience.

Education

Additional information

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: https://www.federalrelay.us/

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

How You Will Be Evaluated

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

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):

• Compliance Examinations, 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/11131652 .

Background checks and security clearance

Security clearance
Other

Drug test required
No

Position sensitivity and risk
High Risk (HR)

Trust determination process
Suitability/Fitness

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., 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 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).