Securities Compliance Examiner

The SEC's mission is to protect investors, maintain fair, orderly, and efficient markets, and facilitate capital formation. The agency seeks high-caliber professionals who share the same values of integrity, fairness, accountability, resourcefulness, teamwork, and commitment to excellence.

The SEC offers a number of enhanced pay and benefits plus the standard Federal benefits:

This position is in the San Fransisco Regional Office located in San Fransisco, CA.

The Office of Compliance Inspections and Examinations ("OCIE") protects investors through administering the SEC's nationwide examination and inspection program. Examiners in Washington DC and in the Commission's 11 regional offices conduct examinations of the nation's registered entities, including broker-dealers, transfer agents, investment advisers, investment companies, the national securities exchanges, clearing agencies, SROs such as the Financial Industry Regulatory Authority ("FINRA") and the Municipal Securities Rulemaking Board, and the Public Company Accounting Oversight Board ("PCAOB"). OCIE’s mission is to protect investors, ensure market integrity and support responsible capital formation through risk-focused strategies that: (1) improve compliance; (2) prevent fraud; (3) monitor risk; and (4) inform policy. The examination program plays a critical role in encouraging compliance within the securities industry, which in turn also helps to protect investors and the securities markets generally.
 

KEY REQUIREMENTS

 

DUTIES:

Back to top

Examples of the Securities Compliance Examiner, SK-1831012/13, position's major duties are:

QUALIFICATIONS REQUIRED:

Back to top

All qualification requirements must be met by the closing date of this announcement.

 

QUALIFICATIONS FOR THE SK-12:  Candidates must have one year of specialized experience at the SK-11 level that includes experience researching the federal securities laws, rules and regulations in relation to legal and regulatory compliance, experience responding to internal and/or external audit or investigative inquiries, and experience handling complex legal and/or factual issues arrising from securities examinations. 

QUALIFICATIONS FOR THE SK-13: Candidates must have one year of specialized experience at  the SK-12 level that includes experience applying the federal securities laws, rules and regulations in relation to legal and regulatory compliance, experience responding to and conducting internal and/or external audit or investigative inquiries, participating in developing and preparing guidance based on new and evolving legislation/regulations, and experience handling legal and/or factual issues that are complex and sensitive in nature. 

 

Knowledge, Skills and Abilities: Your qualifications will be further evaluated based upon the following KSA's:

 

Important Notes:

 

1. Application procedures are specific to this vacancy announcement. Please read all the instructions carefully. Failure to follow the instructions may result in your not being considered for this position.

2. Male applicants born after December 31, 1959, must have registered for the selective service.  For more information, visit http://www.usajobs.gov/EI/selectiveservicerequirements.asp#icc.

3. Supplementary vacancies may be filled in addition to the number stated in this announcement.

4. This position has promotion potential to the SK-13. 

5. PROBATIONARY PERIOD: This appointment may require completion of a one-year probationary period.

6. SECURITY CLEARANCE: Entrance on duty is contingent upon completion of a pre-employment security investigation. Favorable results on a Background Investigation may be a condition of employment or selection to another position.

7. PERMANENT CHANGE OF STATION (PCS): Moving/Relocation expenses are not authorized.

8. DIRECT DEPOSIT: All Federal employees are required to have Federal salary payments made by direct deposit to a financial institution of their choosing.

9. This position is in the bargaining unit.

Information for Veterans:  You may be eligible to receive preference in appointment.  For more information please visit: http://www.fedshirevets.gov/job/vetpref/index.aspx. 

Surplus or Displaced Federal Employees:  For information on how to apply through the Interagency Career Transition Assistance program (ICTAP) see http://www.opm.gov/rif/employee_guides/career_transition.asp#ictap.  To exercise selection priority for this vacancy, displaced Federal employees must meet the Well Qualified criteria of the rating scale for this position.

 

Schedule A Candidates: For information, please e-mail: DisabilityEmploymentProgram@SEC.gov

HOW YOU WILL BE EVALUATED:

BASIS OF RATING: Candidates who meet hte basic qualification requirements for this vacancy may be forwarded for consideration. Individuals with veteran's preference will be forwarded for consideration ahead of other applicants without preference.

BENEFITS:

Back to top

The Federal Government offers a comprehensive benefits package.  Explore the major benefits offered to most Federal employees at http://www.usajobs.gov/EI/benefits.asp.

OTHER INFORMATION:

IMPORTANT INFORMATION FOR SURPLUS OR DISSPLACED FEDERAL EMPLOYEES: Career Transition Assistance Plan (CTAP) and Interagency Career Transition Assistance Plan (ICTAP) are available to individuals who have special priority selection rights under this plan. Individuals must be well-qualified for this position to receive consideration for special priority selection. CTAP or ICTAP eligibiles will be considered well-qualified when receiving an adjudicated score of 85 or higher.  Federal employees seeking CTAP or ICTAP eligibility must submit proof of meeting the requirements of CFR 330.605(a) for CTAP and 5 CFR 330.704 for ICTAP.  This includes a copy of the agency notice, a copy of your most recent performance rating, and a copy of your most recent SF-50 Notification of Personnel Action notating current position, grade level, and duty location.  You are to annotate in your application that you are applying as a CTAP or ICTAP eligible.

 

The SEC provides reasonable accommodations to applicants with disabilities. If you need a reasonable accommodation for any part of the application and hiring process, send an email to DisabilityAccommodation@SEC.gov  or call 202-551-4158.  To request sign language interpreting services for interviews, send an email to SECInterpreter@sec.gov at least 5 business days before the date you will need this service.

 

TTY/ASCII users should use the toll free Federal Relay Service number: 1-800-877-8339 and provide the SEC number of the office or individual you are calling. For more information about using the Federal Relay Service see: http://fts.gsa.gov/frs/tollfree.htm.

HOW TO APPLY:

Back to top

To be considered for this position, you must submit a complete Application Package.

 

All materials must be received by 11:59 p.m. EST, Wednesday, September 11, 2013 to be considered.

 

Please follow the instructions listed below for submitting the Occupational Questionnaire, Résumé, and Required Documents. Please read all instructions before you begin. You are solely responsible for the delivery of your materials. We cannot be responsible for incompatible software, illegible fax transmissions, etc.

 

To begin the process, click the Apply Online button at the bottom of this screen to create an account or log in to your existing USAJOBS account. Follow the prompts to complete the occupational questionnaire. Please ensure you click the Submit My Answers button at the end of the process.

 

To fax supporting documents you are unable to upload, complete this cover page http://staffing.opm.gov/pdf/usascover.pdf using the following Vacancy ID 944745.  Fax your documents to 1-478-757-3144.

 

If you cannot apply online:

1. Click the following link to view and print the occupational questionnaire View Occupational Questionnaire, and

2. Print this 1203FX form to provide your response to the occupational questionnaire http://www.opm.gov./forms/pdf_fill/OPM1203fx.pdf and

3. Fax the completed 1203FX form along with any supporting documents to 1-478-757-3144. Your 1203FX will serve as a cover page for your fax transmission.

REQUIRED DOCUMENTS:

For this job announcement the following documents are required:

 

1. Your responses to the Occupational Questionnaire

2. Résumé: Must contain a detailed description of your duties, the date you performed them (MM/YY), and your work schedule.

3. For Veterans: DD-214; For Disabled Veterans: DD-214 Member Copy 4, SF-15 and VA letter dated 1991 or later (if you are claiming veterans preference)

AGENCY CONTACT INFO:

Alaina Tshontikidis
Phone: (202)551-4108
Email: TSHONTIKIDISA@SEC.GOV

Agency Information:
Securities and Exchange Commission
100 F Street NE
Washington , DC
20549

WHAT TO EXPECT NEXT:

After a review of your résumé, required documents and assessment questionnaire is complete, you will be notified of your rating and or referral to the hiring official. If further evaluation or interviews are required, you will be contacted.

 

 

September 4, 2013 • Tags: , • Posted in: Financial

Leave a Reply

You must be logged in to post a comment.