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

Job Title:Supervisory Attorney-Adviser

Agency:Securities and Exchange Commission

Job Announcement Number:13-EX-777932-DQ

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

The contents of the announcement can still be viewed.

SALARY RANGE:

$121,505.00 to $190,262.00 / Per Year

OPEN PERIOD:

Wednesday, November 07, 2012 to Thursday, November 29, 2012

SERIES & GRADE:

SK-0905-15

POSITION INFORMATION:

Full Time - Excepted Service Permanent

PROMOTION POTENTIAL:

15

DUTY LOCATIONS:

1 vacancy in the following location:
Los Angeles, CA United StatesView Map

WHO MAY APPLY:

US Citizens and Non 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 Securities and Exchange Commission's mission is to protect investors, maintain fair, orderly, and efficient markets, and facilitate capital formation. The agency seeks high-caliber employees 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!  Enjoy with SEC:

·         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

 

To find out more, go to http://www.sec.gov/jobs.shtml.

 

This Supervisory Attorney-Adviser, (Exam Manager) position will be located in the Los Angeles Regional Office, Los Angeles, CA. 

Salary Range for SK-15: $121,050 - $190,262

Travel may be required.

Candidates must provide proof of bar membership.

KEY REQUIREMENTS

  • This position is open to all Sources.

DUTIES:

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The Exam Manager plans, coordinates and supervises investigations/examinations of investment companies and investment advisers and other securities related organizations to ensure work is performed in an effective and timely manner to achieve program goals and the SEC mission.  He/she leads or participates in field work, reviews and approves examination reports and recommended dispositions, and supervises follow-up work for examinations.

 

As required, serves as expert and adviser or consultant to the Assistant Regional Director and other members of top management regarding all aspects of examinations of investment companies and investment advisers.  Acts as a liaison with high level officers of those entities to ensure their awareness of Commission policies and to maintain a current awareness of industry activities and developments.

 

Participates in conferences with management officials of the Office of Compliance Inspections and Examinations and various regional/district offices when questions of unusual importance or when differences of opinion develop with respect to examination program procedures and policies.

 

Assists management in preparation for top level conferences with respect to work supervised with emphasis on legal issues, matters of law, procedure, or policy in pending or potential litigation.  Incumbent may be assigned to complex investigations resulting from inspections.  Ensures the training and development of examination staff and provides briefings on examination and program considerations and advises on complex, controversial, or sensitive matters.

 

Performs the administrative and human resource management functions relative to the staff supervised.  Plans, schedules, and assigns work to subordinates.  Establishes guidelines and performance expectations for staff members; provides feedback and periodically evaluates employee performance.  Provides advice, counsel, and/or instruction to staff members.  Recommends or approves appointments, selections, or reassignments to positions appropriate to the selection authority delegated.  Effects disciplinary measures as appropriate to the authority delegated in this area.  Carries out Equal Employment Opportunity (EEO) policies and program activities.


QUALIFICATIONS REQUIRED:

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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:

 

A) Possess at least three years of post JD experience as a practicing attorney, which includes at least two years of specialized experience providing expert legal advice for sensitive and complex programs, issues and problems dealing with nationwide examination or inspection activities for investment advisers (including advisers to hedge funds, private equity funds and other private funds), investment companies or other securities related organizations; leading teams of staff with varying backgrounds and experiences (e.g., legal, accounting, examining) in effectively investigating/examining firms’ policies, procedures, and/or practices to determine compliance with applicable federal securities laws and other requirements; and recommending solutions to problems identified during examinations.

 

B) 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.

 

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

 

Ability To Lead, Supervise, Manage, And Motivate People Effectively

Ability To Effectively Communicate In Writing

Ability To Effectively Communicate Orally

Knowledge Of Federal Securities Laws, Rules, And Regulations   

 


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. This position has promotion potential to the SK-15.

4. Applicants chosen for this position may be subject to completion of a trial period.

5. The individual selected may be subject to a security investigation. Favorable results on a background investigation may be a condition for employment or selection to another position. If you do not provide all the information requested, you may lose consideration for this position.

6. Moving expenses may be authorized.

7. All Federal employees are required to have Federal salary payments made by direct deposit to a financial institution of their choosing.

8. This position is not in the bargaining unit.

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

Information for veterans: You may be eligible to receive preference in appointment. For more information please visit: http://www.fedshirevets.gov/job/vetpref/index.aspx.

Surplus or Displaced Federal Employees: For information on how to apply through the Interagency Career Transition Assistance program (ICTAP) see http://www.opm.gov/rif/employee_guides/career_transition.asp#ictap. 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: Once the announcement closes, your application will be automatically evaluated 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. Please follow all instructions carefully. Errors or omissions may affect your eligibility for referral to the hiring official. 


BENEFITS:

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The Federal Government offers a comprehensive benefits package.   Explore the major benefits offered to most Federal employees at http://www.usajobs.gov/EI/benefits.asp.



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 DisabilityProgramOfficer@sec.gov. To request sign language interpreting services for interviews, send an email to SECInterpreter@sec.gov 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: http://fts.gsa.gov/frs/tollfree.htm. 

 



HOW TO APPLY:

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To be considered for this position, you must submit a complete Application Package. 

 

All materials must be received by 11:59 p.m. EST, Thursday, November 29, 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: 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 777932.  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 http://www.opm.gov/forms/pdfimage/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 transmission.

 

 

Social Security Number

Vacancy Identification Number

The Vacancy Identification Number is:777932


1. Title of Job

Supervisory Attorney-Adviser
2. Biographic Data

3. E-Mail Address

4. Work Information

If you are applying by the OPM Form 1203-FX, leave this section blank.

5. Employment Availability

6. Citizenship

Are you a citizen of the United States?
7. Background Information

If you are applying by the OPM Form 1203-FX, leave this section blank.

8. Other Information

If you are applying by the OPM Form 1203-FX, leave this section blank.

9. Languages

If you are applying by the OPM Form 1203-FX, leave this section blank.

10. Lowest Grade

Enter the lowest grade level that you will accept for this position.  The lowest grade for this position is 15.
15

11. Miscellaneous Information

If you are applying by the OPM Form 1203-FX, leave this section blank.

12. Special Knowledge

If you are applying by the OPM Form 1203-FX, leave this section blank.

13. Test Location

If you are applying by the OPM Form 1203-FX, leave this section blank.

14. Veteran Preference Claim

If you are not entitled to veteran's preference, mark "No preference claimed." Except for disabled veterans, (1) those who entered active duty on or after October 15, 1976, and before September 8, 1980, must have an authorized campaign badge; OR, (2) those who enlisted after September 7, 1980, or entered on active duty (through means other than enlistment) on or after October 14, 1982, must have (a) completed at least 24 months of continuous, active duty service AND have served in a campaign or expedition for which a campaign medal has been authorized; OR, (b) have served at least one day during the period for which a campaign medal has been authorized; OR (b) have served at least one day during the period of 08/02/90 through 01/02/92 AND have 24 months of continuous, active duty service, or been a reservist activated during that period. Persons who returned from military service at the rank of major, lieutenant commander, or higher are not entitled to veteran's preference except as disabled veterans.


15. Dates of Active Duty - Military Service

16. Availability Date

If you are applying by the OPM Form 1203-FX, leave this section blank.

17. Service Computation Date

If you are applying by the OPM Form 1203-FX, leave this section blank.

18. Other Date Information

If you are applying by the OPM Form 1203-FX, leave this section blank.

19. Job Preference

How did you become aware of this vacancy?
1 SEC's website
2 Local Newspaper
3 National Newspaper
4 Twitter
5 SEC Employee
6 Colleague/Friend
7 USA Jobs
8 Career/Job Fair
9 Other

20. Occupational Specialties

001 - This position is opened to U.S. citizens and citizens of allied nations.


001 Excepted Service

21. Geographic Availability

061980037 Los Angeles, CA

22. Transition Assistance Plan

In this section indicate if you are a surplus or displaced Federal employee requesting special priority consideration under the Career Transition Assistance Plan (CTAP) or the Interagency Career Transition Assistance Plan (ICTAP).

Note: To receive consideration for CTAP or ICTAP, you must submit the necessary supporting documentation. Refer to the "Benefits/Other" section for additional information and instructions.

 


23. Job Related Experience

If you are applying by the OPM Form 1203-FX, leave this section blank.

24. Personal Background Information

If you are applying by the OPM Form 1203-FX, leave this section blank.

25. Occupational/Assessment Questions:

The following are basic requirements for this position. Please select the letter that best describes your education and/or experience.

1. Do you possess a JD or LL.B Degree?

A. Yes
B. No

2. Are you 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?

A. Yes
B. No

3. From the descriptions below select the letter that corresponds to the statement that most accurately describes your experience as it directly related to this position.

A. I have at least three years of post JD experience as a practicing attorney which includes at least two years of specialized experience providing expert legal advice for sensitive and complex programs, issues and problems dealing with nationwide examination or inspection activities for investment advisers (including advisers to hedge funds, private equity funds and other private funds), investment companies or other securities related organizations; leading teams of staff with varying backgrounds and experiences (e.g., legal, accounting, examining) in effectively investigating/examining firms' policies, procedures, and/or practices to determine compliance with applicable federal securities laws and other requirements; and recommending solutions to problems identified during examinations.
B. My level of experience is not described above.

For each task, choose the statement from the list below that best describes your experience and/or training. Please select only one letter for each item.

A- I have not had education, training or experience in performing this task.
B- I have had education or training in performing the task, but have not yet performed it on the job.
C- I have performed this task on the job. My work on this task was monitored closely by a supervisor or senior employee to ensure compliance with proper procedure.
D- I have performed this task as a regular part of a job. I have performed it independently and normally without review by a supervisor or senior employee.
E- I am considered an expert in performing this task. I have supervised performance of this task or I am normally the person who is consulted by other workers to assist them in doing this task because of my expertise.

4. Assigns work taking into account skills and abilities of the staff and monitoring work performance.

5. Informs staff of what is expected and advising them of necessary changes as jobs progress, and holding them responsible for timely completion of work assignments.

6. Motivates and works with staff to function as a team, taking into accountant individual and organizational needs.

7. Preparing reports that are accurate, succinct, grammatically correct, and logically organized based on analysis of specialized data and records from different sources.

8. Providing to others specific and detailed guidance and feedback on preparing reports and written work product that is accurate, succinct, grammatically correct, and logically organized.

9. Participating in verbal discussions to justify or negotiate matters involving significant or controversial issues.

10. In a leadership capacity, explaining, advocating, and expressing critical facts and ideas in a convincing manner and with the appropriate level of detail in order for an individual or group of persons with different skills and experience levels to achieve a desired outcome.

11. In briefing management or representing the organization at briefings, meetings, or conferences, conveying complex and technical information clearly and concisely with the appropriate level of detail.

12. Applied and interpreted the Investment Advisers Act of 1940 and Investment Company Act of 1940 (the "IA/IC Acts") and other federal securities laws and rules thereunder with an understanding of the interrelationship of the various laws to the investigation of registered investment entities, such as experience calculating or reviewing the calculation of an investment company's net asset value relative to the requirements of the laws and regulations.

13. Provided senior management advice on the requirements of the IA/IC Acts and other federal securities laws in relation to the conduct of difficult and sensitive compliance investigations/examinations, such as investigations/examinations of registrants engaged in new or complex activities or problematic or violative practices.



REQUIRED DOCUMENTS:

For this job announcement the following documents are required:

1. Responses to the Occupational Questionnaire

2. Résumé (Must contain a detailed description of your duties, the date you performed them (MM/YY), and your work schedule)

3. Proof of Bar membership 

4. An official transcript will be required prior to entrance-on-duty.

5. For Veterans: DD-214; For Disabled Veterans: DD-214, SF-15 and VA letter dated 1991 or later (if you are claiming veterans preference)

AGENCY CONTACT INFO:

Donna M. Quarles
Phone: (202)551-7452
Email: QUARLESD@SEC.GOV
Agency Information:
Office of Human Resources
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. 

 


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Job Announcement Number:

13-EX-777932-DQ

Control Number:

330886300