Securities Job Title Securities Compliance Examiner

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					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

Job Summary:

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

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

    Key Requirements:

          You must be a U.S. citizen.

    Major Duties:

    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

    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
      of 1940
                    Ability to communicate in writing.
                    Ability to communicate effectively other than in writing.
                    Knowledge of the Examination Process

    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,

    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

    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)
see To
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

Other Information:
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 or call
202-551-4158. To request sign language interpreting services for interviews,
send an email 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
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.

Note: To return to a previously Saved or Incomplete application you may use
the following link:

To fax supporting documents you are unable to upload, complete this cover
page 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 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

Required Documents:

For this job announcement the following documents are required:

1. Your responses to the Occupational Questionnaire

2. Résumé

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)
Contact Information:
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:

Reasonable Accommodation Policy Statement:

Veterans Information:

Legal and Regulatory Guidance:

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