The Vacancy Identification Number is:804480
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.
001 - This position is opened to U.S. citizens and citizens of allied nations.
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.
The following are basic requirements for this position. Please select the letter that best describes your education and/or experience.
1. Do you possess a JD or LL.B Degree?A. Yes
2. Are you 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. Yes
3. 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. I have at least four years post J.D. experience as a practicing attorney that includes at least three years of specialized experience interpreting and applying the federal statutes, rules and regulations administered by and affecting the Commission and the securities industry, including the Investment Company Act of 1940, the Investment Adviser Act of 1940, the Securities Act of 1933 and/or the Securities Exchange Act of 1934; providing legal analysis and overseeing the work of other attorneys in order to resolve complex legal issues; and managing the business operations of a large legal and/or financial organization which includes managing financial, human capital and risk and examinations processes at the highest level of the organization; and monitoring and assessing the efficiency and effectiveness of operations in order to develop and implement strategies and plans for improving business processes.
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.
4. Implemented strategies which maximized employee potential and fostered high ethical standards in meeting the organization's vision, mission, and goals.
5. Develop and implement an organizational vision which integrated key national/program goals, priorities, values, and other factors of an organization and exercise leadership and motivate managers to incorporate vision and strategic planning into the process.
6. Explain, advocate, and express facts and ideas (both orally and in writing) in a convincing manner and working in groups and teams conducting briefings with outside groups and gaining cooperation from others to obtain information and accomplish goals.
7. Interpret and apply the Securities Act of 1933, the Securities Exchange Act of 1934, the Investment Company Act of 1940 and/or the Investment Advisers Act of 1940.
8. Analyze complex problems and devising innovative solutions legal/financial standards, stated policies, and existing market structures to develop creative approaches to problems and/or complex problems of an operational, business, and legal/financial nature, identified key elements of the problems and developing workable solutions.
9. Manage large legal, financial or business organizations business operations to include coordinating financial management systems with other parts of the organization.
10. Direct the formulation of new or revised automation systems policies in connection with carrying out the functions of the Office and overall program which may have national or international impact.