Associate Director (Investment Advisers/Investment Companies)


Vacancy ID: 759194   Announcement Number: 13-DE-759194-DQ   USAJOBS Control Number: 328172800

Social Security Number

Vacancy Identification Number

The Vacancy Identification Number is: 759194


1. Title of Job

Associate Director (Investment Advisers/Investment Companies)
2. Biographic Data

3. E-Mail Address

4. Work Information

If you are applying by the OPM Form 1203-FX, leave this section blank.

5. Employment Availability

6. Citizenship

Are you a citizen of the United States?
7. Background Information

If you are applying by the OPM Form 1203-FX, leave this section blank.

8. Other Information

If you are applying by the OPM Form 1203-FX, leave this section blank.

9. Languages

If you are applying by the OPM Form 1203-FX, leave this section blank.

10. Lowest Grade

Enter the lowest grade level that you will accept for this position.  The lowest grade for this position is 01.
01

11. Miscellaneous Information

If you are applying by the OPM Form 1203-FX, leave this section blank.

12. Special Knowledge

If you are applying by the OPM Form 1203-FX, leave this section blank.

13. Test Location

If you are applying by the OPM Form 1203-FX, leave this section blank.

14. Veteran Preference Claim

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.


15. Dates of Active Duty - Military Service

16. Availability Date

If you are applying by the OPM Form 1203-FX, leave this section blank.

17. Service Computation Date

18. Other Date Information

If you are applying by the OPM Form 1203-FX, leave this section blank.

19. Job Preference

How did you become aware of this vacancy?
A. SEC's Website
B. Local Newspaper
C. National Newspaper
D. Twitter
E. SEC Employee
F. Colleague/Friend
G. USA Jobs
H. Career/Job Fair
I. Other

20. Occupational Specialties

001 Competitive-Open to US Citizens

21. Geographic Availability

364170061 New York, NY
99MTRO012 Washington DC Metro Area, DC

22. Transition Assistance Plan

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.

 


23. Job Related Experience

If you are applying by the OPM Form 1203-FX, leave this section blank.

24. Personal Background Information

If you are applying by the OPM Form 1203-FX, leave this section blank.

25. Occupational/Assessment Questions:

1. From the descriptions below, select the letter that corresponds to the statement that most accurately describes your experience as it directly relates to this position.

A. I have at least one year of specialized experience at the GS/SK-14 level applying accounting/auditing concepts and rules applicable to investment companies and investment advisers; interpreting and applying the provisions of the Investment Company Act of 1940 and Investment Advisers Act of 1940; providing sound guidance and expertise in the evaluation of policy issues of the federal securities laws; identifying volatile practices intended to take advantage of or defraud investors; and managing an organization that conducts examinations or audits of financial or securities firms.
B. My level of experience is not described above.

For each task in the following group, choose the statement from the list below that best describes your experience and/or training. Please select only one letter for each item.

A- I have no education, training or experience in performing this task.
B- I have education or training in performing the task, but have not yet performed it on the job.
C- I have performed this task on the job. My work on this task was monitored closely by a supervisor or senior employee to ensure compliance with proper procedures.
D- I have performed this task as a regular part of a job. I have performed it independently and normally without review by a supervisor or senior employee.
E- I am considered an expert in performing this task. I have supervised performance of this task or am normally the person who is consulted by other workers to assist them in doing this task because of my expertise.

2. Designing and implementing strategies which maximize employee potential and foster high ethical standards in meeting the organization's vision, mission, and goals.

3. Addressing and resolving complicated or difficult human capital management issues, including in a labor-management context, demonstrating a high level of interpersonal and leadership skill and judgment in building and managing relationships.

4. Managing a large and complex organization.

5. Developing and implementing an organizational vision which integrates key national and program goals, priorities, values, and other factors of that organization that displayed a high level of initiative, effort, and commitment to public service on a major agency-wide or company-wide effort.

6. Explaining, advocating, and expressing facts and ideas (both orally and in writing) in a convincing manner.

7. Interpreting and applying the Investment Company Act of 1940 and the Investment Advisers Act of 1940 and familiarity with the Securities Act of 1933 and the Securities Exchange Act of 1934.

8. Analyzing complex problems and devising innovative solutions that demonstrated the ability to work with legal standards, stated policies, and existing market structures to develop creative approaches to problems.

9. Providing in-depth understanding of the operations and compliance issues of regulatory agencies.

10. Overseeing and operating complex examinations/inspections of investment advisers and or investment companies.