Securities Compliance Technician


Vacancy ID: 778249   Announcement Number: 13-DE-778249-DQ   USAJOBS Control Number: 331162000

Social Security Number

Vacancy Identification Number

The Vacancy Identification Number is: 778249


1. Title of Job

Securities Compliance Technician
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 07.
07

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

99MTRO001 Chicago Metro Area, IL

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 the level of experience you fully possess that demonstrates your ability as it directly related to this position.

A. I have at least one year of specialized experience equivalent to the GS/SK-6 level reviewing documents to ensure compliance with established policies and procedures; assisting in the formation, administration, and monitoring of compliance actions of an assigned office; entering and retrieving data using database or spreadsheet applications; and producing a variety of written correspondence, memoranda, directives, forms and reports.
B. I have one year of graduate level education (18 semester hours or 27 quarter hours) leading to a master's or equivalent degree with a major study in business administration, finance or accounting.
C. I have a combination of successfully completed graduate level education and specialized experience that meets the total experience requirements.
D. I achieved a class standing in the upper third of the graduating class in my college, university of major subdivision, such as College of Liberal Arts of the School of Business, based on completed courses.
E. I achieved a grade-point average of 2.95 or higher out of a possible 4.0 ("B" or better) in the completion of my undergraduate studies.
F. I achieved a grade-point average of 2.95 or higher out of a possible 4.0 ("B" or better) during the final two years of the curriculum.
G. I achieved a grade-point average of 3.45 or higher out of a possible 4.0 ("B+" or better) in the completion of all required undergraduate courses in my major field.
H. I achieved a grade-point average of 3.45 or higher out of a possible 4.0 ("B+" or better) in the completion of all required undergraduate courses in my major field during the final 2 years of the curriculum.
I. I was elected to membership in a national scholastic honor society.
J. My level of employment/education is not described above.

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.

For each task in the following group, choose the statement from the list below that best describes your experience and/or training. Darken the oval corresponding to that statement in Section 25 of the Qualifications and Availability Form C. 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. Maintained an effective working relationship with employees, staff, and management officials within the organization/agency and in the public and private sectors.

3. Obtained and exchanged information with co-workers and supervisors, answered factual questions, and explained well-established policies, procedures, regulatory requirements, and/or standards to individuals outside the organization.

4. Established and maintained files to provide supervisor with ready access to documents, records and regulations required for supervisor's use.

5. Reviewed files to determine need for disposal, update or retention.

6. Accessed information in a recordkeeping and retrieval system to prepare statistical reports.

7. Retrieved data from databases to respond to requests for information.

8. Used a variety of computer applications, including word-processing, spreadsheets, and/or database management systems to respond to requests.

9. Prepared documentation and forms required for managing the clerical work of an office.

10. Prepared correspondence and reports addressing clerical and administrative issues.

11. Assisted staff performing examinations and perform a variety of support functions and operations.

12. Conducted document review and analysis sufficient to perform recurring examination assignments which are typically covered by established precedents.