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

Job Title:Attorney-Advisor (OCIE/BD)

Agency:Securities and Exchange Commission

Job Announcement Number:13-IN-776492-BJJ

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

The contents of the announcement can still be viewed.


$110,910.00 to $181,398.00 / Per Year


Monday, November 05, 2012 to Tuesday, November 20, 2012




Full Time - Excepted Service Permanent




Few vacancies in the following location:
Washington DC, DC United StatesView Map


Open to permanent SEC employees - ONLY


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.


This position is in the Office of Compliance Inspections and Examinations, Office of Broker Dealer, in Washington, DC.

Salary Range - SK-14: $110,910 - $181,398





  • This position is open to permanent SEC employees - ONLY.
  • Please read all instructions to ensure that you are applying correctly.
  • This position is in the bargaining unit.
  • Travel is required.


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The employee will participate in planning and conducting securities compliance examinations, developing reports of findings, and providing legal advice and recommendations for examinations of broker dealers, investment advisers (including advisers to hedge funds, private equity funds and other private funds), investment companies, self-regulatory organizations, transfer agents, and/or clearing agencies.


Provides advice and  technical support for examinations, investigations and enforcement activities and operations such as reviewing financial statements, evaluating financial accounting systems, reconstructing records, examining and analyzing "street intelligence," analyzing cash-management systems, reviewing investigatory complaints, investigating new financial products, examining specialized securities such as structured products, interviewing principals of registrants and conducting interviews, analyzing performance calculations, analyzing risk, developing surveillance initiatives, developing recommendations and reports, presenting and defending findings, and collaborating with staff from other divisions.


Conducts research, reviews and analyzes a variety of documents related to securities compliance examinations and market regulation, and develops recommendations to resolve problems or issues encountered in assigned area of specialization/focus.  As required, provide assistance and technical support for reviewing new legislation and developing and implementing guidance and assists senior staff in the examination of existing standards and the development of changes or new rules or standards.  Works with senior examiners engaged in developing and preparing guidance on a variety of complex issues arising from interpretation and application of statutes administered by the Office. 


Facilitate conferences and interviews with a variety of company personnel concerning operational and examination issues to determine possible regulatory violations.  Anticipates enforcement needs and gathers evidence to support preliminary findings of violations.  Prepares reports of findings as well as correspondence to an entity outlining deficiencies and corrective actions to be taken.   Conducts a wide variety of assignments and processes related to the examination of registrants and liaison activities with the regional offices.


May represent OCIE in meetings with staff of other federal agencies and the securities industry.   Responds to inquiries concerning the work of the Office and maintains productive work relationships with federal and state agencies and the industry.


Travel is required.




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


TIME-IN-GRADE REQUIREMENTS:  All current SEC employees must have completed a minimum of 52 weeks at the next lower grade (SK-13) by closing date of the announcement. 


Basic Requirements:  Applicant must possess a J.D. or LL.B. degree and be an active member of the bar in good standing in any state, territory of the United States, the District of Columbia, or the commonwealth of Puerto Rico. 


FOR SK -14: Qualifying experience includes one year of specialized experience equivalent to the SK-13 level providing an expert knowledge of and ability to independently plan complex examination functions using a variety of examination methods and techniques; expert knowledge of Federal Securities laws and Acts; applying investigating principles to review records related to the issuance, distribution or trading of securities by broker dealers, investment, investment companies, self-regulatory organizations, public accounting firms, transfer agents, and/or clearing agencies; preparing reports and detailed analytical presentations on complex compliance examination findings; and identifying new and unique situations from complex and potentially precedent-setting circumstances and recommended proposed resolutions to senior staff.


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

·         Knowledge of Federal securities laws, rules and regulation.  

·         Knowledge of the Examination Process.

·         Ability to communicate in writing.

·         Ability to communicate effectively other than in writing.

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.

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

4. This position has promotion potential to the SK-14



BASIS OF RATING: Once the announcement closes, your application will be automatically evaluated and rated by the system and a Human Resources Specialist. To determine if you are qualified for this job, a review of your application and supporting documentation will be made and compared against your responses to the occupational questionnaire. The numeric rating you receive is based on your responses to the questionnaire. The score is a measure of the degree to which your background matches the knowledge, skills, and abilities required of this position. If, after the Human Resources Specialist reviews your resume and/or supporting documentation, a determination is made that the score you have received is not a true reflection of your qualifications and/or experience, your score can and will be adjusted to more accurately reflect the information you provided that support your abilities. Please follow all instructions carefully. Errors or omissions may affect your rating.



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


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 To request sign language interpreting services for interviews, send an email to at least 5 business days before the date you will need this service. To contact the Disability Program Office by phone, call 202-551-4158.

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:



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This position is open ONLY to permanent SEC employees.


All materials must be received by the closing date of this announcement to be considered.


Please follow the instructions listed below for submitting the Assessment 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, delays in mail service, etc. Your materials will not be returned; therefore, do not submit original documents that you may need in the future (upload these documents from your files or submit copies instead).


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 776492.  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. Occupational Questionnaire

2. Résumé


Barbara Johnson-Jones
Phone: (202)551-7322
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.

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