If you are not entitled to veteran's preference, mark "No preference claimed." Except for disabled veterans, (1) those who entered active duty on or after October 15, 1976, and before September 8, 1980, must have an authorized campaign badge; OR, (2) those who enlisted after September 7, 1980, or entered on active duty (through means other than enlistment) on or after October 14, 1982, must have (a) completed at least 24 months of continuous, active duty service AND have served in a campaign or expedition for which a campaign medal has been authorized; OR, (b) have served at least one day during the period for which a campaign medal has been authorized; OR (b) have served at least one day during the period of 08/02/90 through 01/02/92 AND have 24 months of continuous, active duty service, or been a reservist activated during that period. Persons who returned from military service at the rank of major, lieutenant commander, or higher are not entitled to veteran's preference except as disabled veterans.
Select the code of the specialty to which you would like to apply.
In this section indicate if you are a surplus or displaced Federal employee requesting special priority consideration under the Career Transition Assistance Plan (CTAP) or the Interagency Career Transition Assistance Plan (ICTAP).
Note: To receive consideration for CTAP or ICTAP, you must submit the necessary supporting documentation. Refer to the "Benefits/Other" section for additional information and instructions.
The following are basic requirements for this position. Please select the letter that best describes your education and/or experience.
1. I have a J.D. or LL.B. degree.A. True
2. I am an active member of the bar in good standing in any state, territory of the United States, the District of Columbia, or the Commonwealth of Puerto Rico.A. True
3. Select the one response that best describes the level of experience you fully possess that demonstrates your ability as it directly relates to this position.A. I have at least four years of specialized experience as a practicing attorney. My experience includes expert knowledge of broker-dealers, derivative products, securities trading practices and markets, securities market operations; and/or knowledge of, and experience applying the federal securities laws and rules, particularly those applicable to broker-dealers, self-regulatory organizations, securities exchanges, and derivative products. I possess superior analytic and writing skills and am able to plan, organize, and see through completion of difficult and sensitive projects that may have no precedent. Additionally, I possess originality and judgment to recommend solutions to complex problems.
To further assess your qualifications for this position, please select one response from the list below that best describes your experience and/or training as it relates to each task. Darken the oval corresponding to that statement in Section 25 of the Qualifications and Availability Form C. Do not overstate or understate your level of experience and demonstrated capability. You should be aware that your ratings are subject to evaluation and verification based on the resume, narratives, and other supporting documentation. Later steps in the selection process are specifically designed to verify your stated level of experience and demonstrated capability. Deliberate attempts to falsify information may be grounds for non-selection.A- I have no education, training or experience in performing this task.
4. Provide training to develop staff skills.
5. Use knowledge of division/branch objectives and staff capabilities to assign work.
6. Monitor work performance to ensure timely completion of work assignments.
7. Conduct performance evaluations to communicate assessment of work completed.
8. Coach staff to improve performance.
9. Work with staff to identify common problems and to discuss solutions.
10. Develop and implement new policies and procedures to improve the effectiveness or efficiency of work.
11. Exercise leadership and motivate managers to incorporate vision and strategic planning into the process.
12. Organize or lead a major project, and display a high level of initiative, effort and commitment in carrying it out.
13. Supervise or lead other staff in executing broad programs of compliance and examinations at large and complex securities firms that reviewed multiple risk and governance controls.
14. Experience dealing with the press, political appointees, Congress, etc, on various types of important, national issues.
15. Work in groups and teams conducting briefings with outside groups and gaining cooperation from others to obtain information and accomplish goals.
16. Maximize use of resources, plan future needs, and work with others, including senior officials, to create comprehensive plans to address legal and/or regulatory issues.
17. Work with legal standards, stated policies, and existing market structures to develop creative approaches to problems.
18. Confront complex problems of an operational, business, and legal nature, identified key elements of the problems, and developed workable solutions.
19. Work on and successfully addressed major, controversial issues.
20. Interpret and apply the Securities Exchange Act of 1934 in performing duties.
21. Use independent judgment and skill in applying and interpreting the provisions of the Securities Exchange Act of 1934 in actual legal or business settings.
22. Address difficult legal and policy issues promulgated under the Securities Exchange Act of 1934.
23. Use independent judgment in applying and interpreting federal securities law, rules, and regulations in actual legal or business settings.
24. Make recommendations based on comments of operating organizations, personal program knowledge, awareness of the legal implications of recent regulatory or legal action, and acknowledgement of proposed regulation.
25. Address difficult legal and policy issues under the securities rules and regulations.