The Vacancy Identification Number is: 824733
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.
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.
1. From the descriptions below, select the letter that corresponds to the statement that most accurately describes your experience as it directly relates to this position.A. I have at least one year of specialized experience equivalent to the GS/SK-13 level serving as an adviser for broker-dealer operations programs; utilizing technical expertise to responds to a variety of questions and requests; developing a variety of reports, and assuring the delivery of timely and accurate information; and conducting special studies and projects of broad scope requiring the application of a comprehensive knowledge of the broker dealer operations.
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 not had education, training or experience in performing this task.
2. Present authoritative reports that evaluate highly technical findings.
3. Report on complex or controversial subjects in oral and written formats for audiences with varying degrees of technical knowledge.
4. Write clear and concise reports, statements, and/or recommendations based on thorough research work or data analysis.
5. Respond quickly and accurately to ad hoc management requests.
6. Build and leverage professional relationships to effectively discuss and resolve economic, financial, regulatory, or other issues.
7. Collaborate with senior personnel of regulated entities, clients, or internal business partners to obtain, clarify, or give information of a technical nature.
8. Articulate sensitive issues with representatives of regulated entities, clients, or internal business partners.
9. Research complex issues requiring extensive probing and analysis related to the workings of exchanges (all types) and clearing houses.
10. Participate in activities between the front, middle, back offices of a broker dealer to complete work assignments.
11. Apply knowledge of operations support services, e.g., trade execution, clearance, and settlement, post settlement processes, asset servicing including corporate actions, margin and prime broker operations, stock record and other standard reconcilement processes both internal and external, and the daily production of books and records to identify and address alleged or potential violations of federal securities laws and regulations with an emphasis on financial issues.
12. Work with agency and industry personnel to address, resolve, and provide advice relative to major asset classes in both cash and derivative markets as applicable: domestic and international equities and fixed income (all sub classes), money market funds, exchange traded funds, mutual funds, commodities and futures.
13. Apply knowledge of possession and control of customer assets, 15c3-3, both formula calculation and reducing assets to possession and control to research and analyze a wide variety of securities issues.
14. Identify and analyze novel issues, financing, and business structures affiliated with secured funding products, e.g., repo, stock loan, bank loan.
15. Apply broker dealer financial responsibility rules, e.g., Exchange Act Rule 15c3-1 (net capital rule), books and records requirements under Exchange Act Rules 17a-3 and 17a-4, and financial reporting under Exchange Act Rule 17a-5 to prepare and review financial documents for submission to a regulatory agency verifying the accuracy of financial data and prepared statements, reports, schedules, and comparative analyses of financial transactions.