The Vacancy Identification Number is: 776492
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.
1. Select the one response that best describes your employment status.A. I am a current U.S. Securities & Exchange Commission employee.
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. The following are basic requirements for this position. Please select the letter that best describes your education.A. I have a J.D. or LL.B. degree.
4. Please select the response below that best represents your specialized experience to qualify for the SK-14 position.A. I have at least one year of specialized experience at the SK-13 level applying expert knowledge and ability to independently plan complex examination functions using a variety of examination methods and techniques; expert knowledge of Federal Securities laws and Acts; applying auditing, examining and/or investigating principles to review records related to the issuance, distribution or trading of securities by broker dealers, investment, investment companies, self-regulatory organizations, public accounting firms, transfer agents, and/or clearing agencies; preparing reports and detailed analytical presentations on complex compliance examination findings; and identifying new and unique situations from complex and potentially precedent-setting circumstances and recommended proposed resolutions to senior staff.
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 not had education, training or experience in performing this task.
5. Knowledge and understanding of the Securities Act of 1933, the Securities Exchange Act of 1934, the Investment Company Act of 1940, and the Investment Advisers Act of 1940.
6. Knowledge and experience applying the federal securities laws and rules, including the Dodd-Frank Act.
7. Research complex issues requiring extensive probing and analysis related to one the program areas under specialized experience.
8. Exercise resourcefulness, and professional judgment in interpreting and adapting existing precedents and guidelines.
9. Knowledge of and experience with SEC, CFTC, SRO, public accounting or financial organization audit and/or examination process.
10. Conduct examination, audit and/or investigations of regulated entities and/or financial institutions operational activities.
11. Exercise independent judgment in conducting or managing complex examinations.
12. Develop recommendations addressing issues and problems in regards to the program functions provided in specialized experience.
13. Write clear, concise, and technically accurate work products conveying complex technical information.
14. Explain, advocate, and express facts and ideas (both orally and in writing) in a convincing manner.
15. Work with senior examiners engaged in developing and preparing guidance on a variety of complex issues arising from interpretation and application of statutes.
Develop recommendations reports, as well as presenting and defending findings.
17. Participate as a team member in inter-office task force and/or working group.
18. Interact with executive management, co-workers, and members of the securities industry to resolve novel, unique, and complex issues.
19. Conduct briefings for management and/or represent the organization at briefings, meetings or conferences, conveying complex and technical information clearly and concisely and appropriately provide the level of detail to address the concerns of the intended audience.
20. Contribute to leading edge knowledge and understanding of guidelines by application of personal knowledge and the sharing of this knowledge.