Job Title: Securities Compliance Examiner
Agency: Securities & Exchange Commission
Job Announcement Number: 11-515315-DQ
Salary Range: $91,030.00 - $142,548.00 /year
Series & Grade: SK-1831-13
Promotion Potential: 13
Open Period: Wednesday, August 24, 2011 to Wednesday, September 07, 2011
Position Information: Full Time Career/Career Conditional
Duty Locations: 1 vacancy - Ft. Worth, TX
Who May Be Considered: United States Citizens
Do you want to perform challenging work in a collegial environment, while
enjoying quality of life and a competitive compensation package? Invest in
your career at the U.S. Securities and Exchange Commission (SEC)!
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: paid dental insurance and vision insurance and increased
agency subsidy for health insurance which supplements your health benefits
premiums by $25 for self-only coverage, and $50 for family coverage.
To find out more, go to http://www.sec.gov/jobs.shtml.
This Securities Compliance Examiner position is located in Fort Worth
Regional Office, Fort Worth, Texas. This position may also be filled as Staff
Accountants through vacancy announcement number 11-516089-DQ.
Salary Range is: $91,030 to $142,548
You must be a U.S. citizen.
The employee serves as a securities compliance examiner, in either an OCIE
Headquarters office or a regional office, planning and conducting securities
examinations, developing reports of findings, and providing advice and
recommendations for complex examinations and inspections for OCIE areas of
program emphasis such as self regulatory organizations, broker-dealers,
transfer agents, investment companies,investment advisers, municipal and
government securities dealers, and clearing agencies -both clearing
corporations and securities depositories- which are registered under the
Securities Exchange Act of 1934.
Provides advice and technical support for OCIE examination, investigation and
enforcement activities and operations such as reviewing extensive financial
statements, evaluating financial accounting systems, coordinating
examinations with stock exchanges, reconstructing records, examining and
analyzing "street intelligence," analyzing cash-management systems, reviewing
investigatory complaints, planning and leading examinations, investigating
new financial products, examining specialized securities such as junk bonds,
interviewing principals of registrants and conducting conferences, analyzing
performance calculations, analyzing risk, developing surveillance
initiatives, developing recommendations and reports, presenting and defending
findings, and, as required, collaborating with the legal staff and providing
technical expertise for investigations and litigation of civil matters,
administrative proceedings, and criminal prosecutions where there is an
emphasis on securities compliance issues.
All qualification requirements must be met by the closing date of this
announcement. Qualifying experience may be obtained in the private or public
sectors. Qualifying education must have been obtained from an accredited
college or university recognized by the Department of Education. Additional
information on the qualification requirements is outlined in the OPM
Qualifications Standards Handbook of General Schedule Positions. It is
available for your review in our office, in other Federal agency personnel
offices, and on OPM's web site at http://www.opm.gov/qualifications.
Applicants must meet the following basic qualification requirements by the
closing date of this announcement.
Applicants must meet time-in-grade requirements by the closing date of the
SpecializedExperience: Qualifying experience for the SK-13 level includes one year of specialized
experience at least equivalent to the GS/SK-12 level planning complex examination functions using a
variety of examination methods and techniques; applying auditing, examining and/or investigating
principles to review records related to the issuance, distribution or trading of securities while working for
a broker dealers, investment advisers, investment companies, self-regulatory organizations, transfer
agents, and/or clearing agencies; preparing reports and detailed analytical presentations on complex
compliance examination findings.
Knowledge, Skills and Abilities: Your qualifications will be further
evaluated based upon the followings KSA's.
Knowledge of and understanding of the Securities Act of 1933, the Securities
Exchange Act of 1934, the Investment Company Act of 1940 and the Investment Advisers Act
Ability to communicate in writing.
Ability to communicate effectively other than in writing.
Knowledge of the Examination Process
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,
3. Supplementary vacancies may be filled in addition to the number stated in
4. This position has promotion potential to the SK-13.
5. PROBATIONARY PERIOD: This appointment may require completion of a one-year
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
7. PERMANENT CHANGE OF STATION (PCS): Moving/Relocation expenses are not
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
Surplus or Displaced Federal Employees: For information on how to apply
through the Interagency Career Transition Assistance program (ICTAP)
exercise selection priority for this vacancy, displaced Federal employees
must meet the Well Qualified criteria of the rating scale for this position.
How You Will Be Evaluated:
BASIS OF RATING: Candidates who meet the basic qualification requirements
for this vacancy will be rated according to the Category Rating Procedures.
This means that candidates will be assigned to a pre-defined quality category
based on their application and veteran preference. Generally, only candidates
in the top quality category will be referred to the hiring manager.
Individuals with veteran's preference will be placed ahead of other
applicants within the rating category to which they are assigned. Preference-
eligible veterans who have at least 10 percent compensable service-connected
disability, and who have met the basic qualification requirements, will be
placed ahead of other applicants in the highest category.
There will be three quality categories: Highly Qualified, Well Qualified and
The Federal Government offers a comprehensive benefits package. Explore the
major benefits offered to most Federal employees
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 DisabilityProgramOfficer@sec.gov or call
202-551-4158. To request sign language interpreting services for interviews,
send an email toSECInterpreter@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
How To Apply:
To be considered for this position, you must submit a complete Application
All materials must be received by 11:59 p.m. EST, Wednesday, September 07,
2011 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
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.
Note: To return to a previously Saved or Incomplete application you may use
the following link: https://applicationmanager.gov/.
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 515315. Fax your documents to1-478-757-3144.
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
For this job announcement the following documents are required:
1. Your responses to the Occupational Questionnaire
3. For Veterans: DD-214; For Disabled Veterans: DD-214, SF-15 and/or VA letter dated 1991 or later ( if
you are claiming veterans preference)
Donna M. Quarles Agency Information:
Phone: (202)551-7452 Office of Human Resources
Email: QUARLESD@SEC.GOV 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.
EEO Policy Statement: http://www.usajobs.gov/eeo
Reasonable Accommodation Policy Statement: http://www.usajobs.gov/raps
Veterans Information: http://www.usajobs.gov/vi
Legal and Regulatory Guidance: http://www.usajobs.gov/lrg