Job Title: SECURITIES COMPLIANCE EXAMINER- Accepting Resumes from Veterans and Individuals with Disabilities

Summary

The Securities and Exchange Commission (SEC) is committed to recruiting veterans and individuals with disabilities. We value their understanding of leadership, teamwork, and integrity and their array of experience, skills, and abilities, proven in real-world situations.

The SEC is accepting applications for a Securities Compliance Examiner from those eligible for consideration under the following hiring authorities:
Veterans (30% Disabled/ VRA) Individuals with Disabilities (Schedule A)
Learn more about this agency

Overview
Accepting applications

Open & closing dates
03/08/2023 to 06/08/2023

Salary
$72,502 - $246,926 per year Starting salary is based on location and experience. See below for more information.

Pay scale & grade
SK 11 - 14

Locations
MANY vacancies in the following locations:
Los Angeles, CA

San Francisco, CA

Denver, CO

Washington
Show more locations (8)

Miami, FL

Atlanta, GA

Chicago

Boston

New York, NY

Philadelphia

Fort Worth

Salt Lake City, UT Remote job
No

Telework eligible
Yes-as determined by the agency policy.

Travel Required
Occasional travel - You may be expected to travel for this position.

Relocation expenses reimbursed
No

Appointment type
Permanent -

Work schedule
Full-time -

Service
Excepted

Promotion potential
None - Promotion potential will be dependent on the position you are selected for.

Job family (Series)
1831 Securities Compliance Examining

Supervisory status
No

Security clearance
Other

Drug test
No

Position sensitivity and risk
High Risk (HR)

Trust determination process
Suitability/Fitness

Announcement number
23-OCEX-11856181-RT

Control number
711534900

This job is open to

Individuals with disabilities

Veterans

Clarification from the agency
This announcement is being used as a repository. By applying to this announcement, your application will be placed into a pool for evaluation and referral to selecting officials for non-competitive hiring until September 30, 2023. Submission of your application is voluntary and does not guarantee selection or employment. You will not receive regular updates regarding your application. If you are referred to a hiring manager for consideration, you may or may not be contacted.

This job is also open in another announcement to:

Individuals with disabilities

Veterans

This job is also open in another announcement to:

Individuals with disabilities

Veterans

Videos

Duties
Typical duties of a Securities Compliance Examiner at the SEC may include any of the following: Providing technical assistance and support in one or more of the accounting/examining programs with emphasis on registered self-regulatory organizations, broker-dealers, transfer agents, investment companies, investment advisers, and clearing agencies, (collectively "registrants"). Planning and conducting examinations, developing reports of findings, communicating verbally in meetings, drafting detailed findings in reports, and providing advice and recommendations for complex clearing agency examinations. Providing technical advice and assistance in the areas of accounting principles and standards, evaluate internal control processes, perform complex and difficult assignments supporting the mission of the SEC programs. Analyzing complex internal control systems and processes, analyzing the methods used for valuing and accounting for a portfolio of securities, reconstructing records and process flows, analyzing cash-management systems, investigating new financial products, analyzing performance calculations, and/or analyzing risk. Working as a member of a team of examiners with various levels of experience and professional backgrounds to conduct examinations of securities-related financial institutions registered with the SEC such as investment companies, investment advisers, broker-dealers, transfer agents, and municipal advisors. Evaluating possible risks to investors and the financial markets of registered securities-related financial institutions' business models and practices based on review and analysis, through modern quantitative techniques when possible, of information reported by the institutions to the SEC and other internal and external data sources Executing risk-based examination plans, which frequently involves: (i) analyzing a financial institution's operations and procedures, sales practices, supervisory systems, books and records, and financial statements, (ii) reviewing investigatory complaints, (iii) investigating new financial products, (iv) examining specialized securities, (v) interviewing principals of registrants, and/or (vi) analyzing performance calculations to assess the level of compliance with federal securities laws and/or self-regulatory requirements.

Requirements

Conditions of Employment
You must be a US Citizen. Application procedures are specific to this vacancy announcement. Please read all the instructions carefully. Failure to follow the instructions may result in you not being considered for this position. Supplementary vacancies may be filled in addition to the number stated in this announcement. TRIAL PERIOD: This appointment may require completion of a trial period. 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. DRUG TESTING: This position may be subjected to drug testing requirements. PERMANENT CHANGE OF STATION (PCS): Moving/Relocation expenses are not authorized. DIRECT DEPOSIT: All Federal employees are required to have Federal salary payments made by direct deposit to a financial institution of their choosing. This position is in the collective bargaining unit. This position is eligible to request telework in accordance with the SEC 's telework policy.

Qualifications

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

Qualifying experience may be obtained in the private or public sector. Experience refers to paid and unpaid experience, including volunteer work done through National Service programs (e.g., Peace Corps, AmeriCorps) and other organizations (e.g., professional; philanthropic; religious; spiritual; community, student, social). Volunteer work helps build critical competencies, knowledge, and skills and can provide valuable training and experience that translates directly to paid employment. You will receive credit for all qualifying experience, including volunteer experience.

MINIMUM QUALIFICATION REQUIREMENT:
Applicant must have at least one year of specialized experience equivalent to the next lower grade.
Who May Apply:

Schedule A Hiring Authority:
Schedule A, 5 CFR 213.3102(u), is a special hiring authority for people with disabilities. It is intended for the appointment of persons with intellectual disabilities, severe physical disabilities, or psychiatric disabilities. Schedule A is an exception to the traditional hiring process. Eligibility for the Schedule A Hiring Authority does not guarantee job placement at the U.S. Securities and Exchange Commission (SEC). Persons with disabilities are hired under excepted service appointments to positions that are otherwise in the competitive service. Individuals hired under Schedule A are subject to a trial period (i.e., probationary period) that can last up to two years, based on veteran status. During probation, employees hired under Schedule A are held to the same performance standards as all other employees. After two years of satisfactory service, such employees may be noncompetitively converted to the competitive service. For more information, please visit us at SEC.gov | SEC Disability Programs Overview
30% or More Disabled Veteran:
This hiring authority enables a hiring official to appoint an eligible 30 percent or more disabled veteran to any position for which the veteran is qualified; there is no grade level limitation. Initial competitive service appointments are time-limited (e.g., temporary or term appointment), but must last more than 60 days; however, a veteran can acquire permanent status at any time during the time-limited appointment. Individuals placed under this hiring authority are subject to a one-year probationary period.
Eligibility applies to the following categories of veterans who separated under honorable conditions:
Disabled veterans who were retired from active military service with a service-connected disability rating of 30 percent or more; and Disabled veterans rated by the VA as having a compensable service-connected disability of 30 percent or more. For more information, please visit us at SEC.gov | SEC Veterans Program.

Veterans Recruitment Appointment (VRA) Authority: VRA allows agencies to make appointments of eligible and qualified veterans up to the SK-11 (equivalent to the GS-11); promotion potential of the position is not a factor. Veterans are hired under excepted service appointments to positions that are otherwise in the competitive service. Individuals placed under this hiring authority are subject to a trial period (i.e., probationary period) that can last up to two years, based on veteran status. During probation, employees hired under VRA are held to the same performance standards as all other employees. After two years of satisfactory service, veterans are noncompetitively converted to the competitive service.
VRA eligibility applies to the following categories of veterans who separated under honorable conditions:
Disabled veterans; Veterans who served on active duty in the Armed Forces during a war declared by Congress, or in a campaign or expedition for which a campaign badge has been authorized; Veterans who, while serving on active duty in the Armed Forces, participated in a military operation for which the Armed Forces Service Medal (AFSM) was awarded, to include the Global War on Terrorism Service Medal; and Veterans separated from active duty within the past three years.

Education
This job does not have an education qualification requirement.

Additional information

SEC COMPENSATION PROGRAM: The overall salary range listed above is provided for informational purposes as it represents the full range that is applicable to current employees in this occupation/grade; however, a selectee's initial pay is always set below the maximum rate of the range. Please click here for additional information.

Reasonable Accommodation: If you are an applicant who needs a reasonable accommodation for disability to participate in the application process at the SEC, submit the form for Reasonable Accommodation for Participation in Job Application Process here. Please be sure to submit your request at least 5 business days in advance of the date you need the requested accommodation.

Equal Employment Opportunity (EEO) Information for SEC Job Applicants: Federal EEO laws protect all applicants from discrimination on the following bases: race, color, sex (not limited to conduct which is sexual in nature, includes pregnancy, gender identity, sexual orientation, transgender status), age (40 and over), religion, national origin, disability, genetic information, retaliation for participating in the EEO process or opposing discrimination. Applicants who believe they have been discriminated against on any EEO basis can seek recourse through the SEC's administrative complaints process. To be timely, an individual must enter the EEO process within 45 days from when they know (or should have known) of the alleged discrimination. Click here for additional information.

TTY/ASCII: Video Relay Service users are welcome to contact the appropriate SEC office or employee via the contact information listed above. If you do not otherwise have access to a Video Phone or Video Relay service, you may send us an email or use the Federal Video Relay Service via the internet. For more information about using the Federal Relay Service and to create a new account, please see: https://www.federalrelay.us/

A career with the U.S. government provides employees with a comprehensive benefits package. As a federal employee, you and your family will have access to a range of benefits that are designed to make your federal career very rewarding. Opens in a new windowLearn more about federal benefits.

Review our benefits

Eligibility for benefits depends on the type of position you hold and whether your position is full-time, part-time or intermittent. Contact the hiring agency for more information on the specific benefits offered.

How You Will Be Evaluated

You will be evaluated for this job based on how well you meet the qualifications above.
You will be evaluated for this job based on how well you meet the qualifications. Additional information about the OPM Qualification Standards can be found here.
We will evaluate your qualifications and basic eligibility. Your referral to Hiring officials seeking to fill positions utilizing non-competitive hiring flexibilities may be dependent on your answers to the Occupational Questionnaire and your selections of grade and locations you will accept.

The Occupational Questionnaire will take you approximately 10 minutes to complete. To preview the Occupational Questionnaire, click the following link https://apply.usastaffing.gov/ViewQuestionnaire/11856181.

A career with the U.S. government provides employees with a comprehensive benefits package. As a federal employee, you and your family will have access to a range of benefits that are designed to make your federal career very rewarding. Opens in a new windowLearn more about federal benefits.

Review our benefits

Eligibility for benefits depends on the type of position you hold and whether your position is full-time, part-time or intermittent. Contact the hiring agency for more information on the specific benefits offered.
As a new or existing federal employee, you and your family may have access to a range of benefits. Your benefits depend on the type of position you have - whether you're a permanent, part-time, temporary or an intermittent employee. You may be eligible for the following benefits, however, check with your agency to make sure you're eligible under their policies.
You must provide a complete Application Package, which includes: Required: Your responses to the Occupational Questionnaire. Required: Your complete and comprehensive resume that includes a complete history of your work experience and the applicable employment dates with months and years. If you are a current or former Federal employee, it is recommended that your resume include the title, series, and grade (e.g. SK-0301-12) for all relevant Federal experience . To determine if you qualify for this position, OHR will review your work history that is relevant to the specific position for which you applied. If you are an external candidate selected for this position, OHR will review your complete work history to establish your starting salary. If you are a current SEC employee selected for this position, the standard percentage increases will be applied (i.e., 6% for non-supervisory and 10% for supervisory positions) if your selection results in a promotion. If your selection results in lateral movement (i.e. no change in grade) you will maintain your current salary. Note : Your resume must directly address the definition of specialized experience listed in the qualification section of this announcement and must NOT contain pictures. For external candidates: Information on how your resume will be used for pay setting purposes can be found here. Schedule A Hiring Authority : Documentation of eligibility for employment under Schedule A can be obtained from a licensed medical professional (e.g., a physician or other medical professional certified by a state, the District of Columbia, or a U.S. territory to practice medicine); a licensed vocational rehabilitation specialist (i.e., state or private); or any federal agency, state agency, or an agency of the District of Columbia or a U.S. territory that issues or provides disability benefits. 30% or More Disabled Veteran/VRA : Veteran's Preference Documentation (DD-214, Member Copy 4 or other documentation containing dates of service and character of discharge. Disabled veterans and other applicants eligible for 10-point Veteran's Preference please include: documentation to validate your claim - VA letter, SF-15, etc).