Securities Compliance Examiner


Vacancy ID: 806848   Announcement Number: 13-DE-806848-DQ   USAJOBS Control Number: 334451600

Social Security Number

Vacancy Identification Number

The Vacancy Identification Number is: 806848


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 13.
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 U.S. Citizens

21. Geographic Availability

99MTRO012 Washington DC Metro Area, 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. From the descriptions below select the letter that corresponds to the statement that most accurately describes your experience as it directly related to this position.

A. I have at least one year of specialized experience equivalent to at least the GS/SK-12 level applying accounting, auditing, examining and/or investigating principles to review records related to the financial management, structure, operations, and practices of credit rating agencies, broker-dealers, investment advisers, investment companies, or other related organizations; and applying expertise in corporate, municipal, or structured finance and of Nationally Recognized Statistical Rating Organizations (NRSROs) operations, including procedures for determining credit ratings.
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 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. Interpret and apply the rules, regulations, and statutes governing the credit rating process, including the Credit Rating Agency Reform Act and the Dodd-Frank Act.

3. Apply expertise in corporate, municipal, or structured finance and provide advice to examiners on post rating reviews of corporate ratings, structured finance ratings, municipal ratings, and other ratings.

4. Apply expertise of the operation of NRSROs and related compliance procedures and regulatory requirements, including procedures for determining credit ratings, handling of material of non-public nature, and managing conflicts of interest.