Attorney-Advisor (OCIE/BD)


Vacancy ID: 776492   Announcement Number: 13-IN-776492-BJJ   USAJOBS Control Number: 330282800

Social Security Number

Vacancy Identification Number

The Vacancy Identification Number is: 776492


1. Title of Job

Attorney-Advisor
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 14.
14

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

14. Veteran Preference Claim

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

15. Dates of Active Duty - Military Service

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

16. Availability Date

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

17. Service Computation Date

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

18. Other Date Information

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

19. Job Preference

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

20. Occupational Specialties


001 Internal SEC Permanent Employees

21. Geographic Availability

110010001 Washington DC, 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. Select the one response that best describes your employment status.

A. I am a current U.S. Securities & Exchange Commission employee.
B. My employment status is not described above.

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.
B. False.

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.
B. I do not 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.
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 not had education, training or experience in performing this task.
B- I have had 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.

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.

16.

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.