Securities Compliance Examiner


Vacancy ID: 785070   Announcement Number: 13-DE-785070-DQ   USAJOBS Control Number: 331263800

Social Security Number

Vacancy Identification Number

The Vacancy Identification Number is: 785070


1. Title of Job

Securities Compliance Examiner
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 12.
12
13

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

080600031 Denver, CO

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 relates to this position.

A. Qualifying experience for the SK-12 level includes at least one year of specialized experience equivalent to at least the GS/SK-11 level independently conducting on-site examinations, audits and/or investigations of broker dealers, including advisers to hedge funds, private equity funds and other private funds, self-regulatory organizations, transfer agents, and/or clearing agencies; product knowledge (including equity, fixed income, municipal securities, investment companies, and derivatives); and assisting with the preparation of reports and review of companies records and procedures; researching complex issues requiring extensive probing and analysis; and interacting effectively with executive management, co-workers, and members of the securities industry to resolve novel, unique, and complex issues.
B. In addition to the experience required at the SK-12 level above, qualifying experience for the SK-13 level includes at least one year of specialized experience equivalent to at least the GS/SK-12 level evaluating and recommending changes to examination/audit methodologies to ensure adaptation to changing industry trends and conducting briefings for management and/or representing the organization at briefings, meetings or conferences; conveying complex and technical information to address the concerns of the intended audience; and developing and preparing guidance on a variety of complex issues arising from interpretation and application of statutes.
C. My level of experience is not described above.

Knowledge of Federal Securities Laws, Rules, and Regulations

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.
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. Applying the federal securities laws and rules, including the Dodd-Frank Act.

3. Researching complex issues requiring extensive probing and analysis related to one the program areas under specialized experience.

4. Interpreting and adapting existing precedents and guidelines.

5. Conducting examination, auditing and/or investigations of regulated entities and/or financial institutions operational activities.

6. Conducting or managing complex examinations.

7. Developing recommendations addressing issues and problems in regards to the examination program functions.

8. Write clear, concise, and technically accurate work products conveying complex technical information.

9. Combining written work product of various team members during the preparation of final written work products.

10. Developing and preparing guidance on a variety of complex issues arising from interpretation and applications of statutes.

11. Effectively participate as a team member in inter-office task force and/or working group.

12. Interact effectively with executive management, co-workers, and members of the securities industry to resolve novel, unique, and complex issues.

13. Conducting 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.