This Position Is No Longer Available
  1. Overview
  2. Duties
  3. Qualifications & Evaluations
  4. Benefits & Other Info
  5. How to Apply

Job Title:Supervisory Financial Analyst (Assistant Director)

Agency:Securities and Exchange Commission

Job Announcement Number:13-DE-757079-BS

This position is closed and no longer accepting online applications through USAJOBS.

The contents of the announcement can still be viewed.


$141,309.00 to $221,267.00 / Per Year


Thursday, October 04, 2012 to Thursday, October 25, 2012




Full Time - Permanent




1 vacancy in the following location:
New York, NY United StatesView Map


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)! To find out more, go to

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 exceptional enhanced pay and benefits plus the standard Federal benefits:

  • The SEC also has a Student Loan Repayment program for permanent employees. Up to $10,000 a year (60K cap) in student loan repayments for those who meet program criteria.
  • Paid dental insurance and vision insurance.
  • Increased agency subsidy for health insurance which supplements your health benefits premiums by $25 for self-only coverage, and $50 for family coverage.
  • Mass transportation subsidy up to $120 per month.


This position is in the Division of Investment Management (Risk and Exam Group) located in New York City, NY.


This vacancy can also be filled through announcement 13-MP-759134-BS.


The Division of Investment Management oversees and regulates the investment management industry and administers the federal securities laws affecting investment companies, including mutual funds and investment advisers. The Division administers the Investment Company Act of 1940, the Investment Advisers Act of 1940, the Securities Act of 1933 and the Securities Exchange Act of 1934. In applying these federal securities laws to the industry, the Division works to improve disclosure to minimize risk for investors without imposing undue costs on regulated entities.


Salary Range - SK-17: $141,309 - $221,267.





  • This position is open to all U.S. Citizens.


Back to top

Major Duties:


The Division of Investment Management (IM) is seeking to hire an Assistant Director for the Division's Risk and Examinations Group (REG).  The Assistant Director will provide leadership and direction to the staff and is responsible for setting the vision and strategy of the group.  Divided into two distinct groups, the risk group is supported by senior financial and quantitative analysts that assist in assessing, reporting and monitoring risks across the asset management industry.  The analysts collaborate with the examinations group to help inform policy priorities, conduct studies, support rulemakings and collect data for Division activities.

The examinations group is comprised of securities compliance and risk examiners, who conduct routine and targeted examinations, often times alongside of the SEC's Office of Compliance, Inspections and Examinations (OCIE).  The purpose of the IM examinations group is to administer IM's examination and inspection program, which is meant to protect investors, ensure market integrity, support responsible capital formation, and to inform IM's program goals and rulemakings.  The examination and compliance activities and operations include planning and supporting examinations, interviewing principals and developing surveillance initiatives, reviewing extensive financial statements, evaluating performance calculations and risk, reviewing investigatory complaints, and developing recommendations and reports.

The Assistant Director also performs the administrative and human resource management functions related to the staff supervised.  Plans, schedules, and assigns work to subordinates; establishes guidelines and performance expectations for staff members; provides training, feedback, and periodically evaluates employee performance; effects disciplinary measures as appropriate and carries out Equal Employment Opportunity (EEO) policies.




Back to top

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


MINIMUM QUALIFICATION REQUIREMENTS: Your résumé must reflect one year of specialized experience equivalent to the GS/SK-14 grade level analyzing financial securities, portfolios and industry exposures; significant experience as a risk manager, trader, financial controller or similar function overseeing complex portfolios, businesses or institutions.


*Compliance experience is also preferred, but not required.  Such experience includes: planning and conducting complex audits, examinations or investigations of the financial management structure, operations and practices of broker-dealers, investment companies or investment advisers (including investment advisers to private funds) using a variety of audit or examination techniques.


Knowledge, Skills and Abilities: Your resume will be evaluated on the listed KSAs in the occupational questionnaire for this announcement.


·         Knowledge of financial products including fixed income, commodities, currencies and equities.

·         Skill in analyzing institutional risks including market, credit, liquidity and operational risks.

·         Knowledge of the federal securities laws administered by the Commission and the rules and regulations thereunder.

·         Ability to communicate effectively other than in writing.

·         Ability to communicate effectively in writing, including the ability to write accurately and persuasively.

·         Ability to supervise, direct and motivate professional, technical and support staff.



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. To be eligible for Federal employment, male applicants born after December 31, 1959 must certify at the time of appointment that they have registered with the Selective Service System, or are exempt from having to do so under Selective Service law. For additional information concerning Selective Service requirements, please visit

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

4. This position has promotion potential to the SK-17. 

5. PROBATIONARY PERIOD: This appointment requires completion of a one-year probationary period. During this time period, employee's conduct and performance will be monitored in order to determine if employee will be retained.

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 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 not bargaining.


Information for veterans:  You may be eligible to receive preference in appointment.  For more information please visit:


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.


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 Qualified.


Back to top
The Federal Government offers a comprehensive benefits package.   Explore the major benefits offered to most Federal employees at


The SEC welcomes applications from qualified individuals with disabilities. 

If you may be eligible for non-competitive hiring under Schedule A because you have a severe disability, please send an email to  Include the vacancy number for the position you are inquiring about in the subject line.  Provide a brief description of your qualifications in the email and the status of your application.  Do not attach files to your email. 

For information about Schedule A hiring in the federal government under the authority in 5 Code of Federal Regulations section 213.3102(u) see


Any applicant who needs a reasonable accommodation for disability to participate in the application process should send the request to  Subject line of email must be: Applicant Accommodation Request.  Send the Applicant Accommodation Request at least 5 business days in advance of the date you will need the accommodation. 


Back to top

All materials must be received by 11:59 p.m. EST, Thursday, October 25, 2012 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 757079.  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 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.




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 VA letter dated 1991 or later ( if you are claiming veterans preference)


Buddy E. Smallwood
Phone: (202)551-7442
Agency Information:
Office of Human Resources
100 F Street NE
Washington , DC


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.

Back to top
Print Preview

Job Announcement Number:


Control Number: