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

Job Title:Case Management Specialist

Agency:Securities and Exchange Commission

Job Announcement Number:13-DE-788446-SDM

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

The contents of the announcement can still be viewed.


$54,915.00 to $83,500.00 / Per Year


Tuesday, December 04, 2012 to Tuesday, December 18, 2012




Full Time - Permanent




1 vacancy in the following location:
Philadelphia, PA 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)!

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 position is located in the Philadelphia Regional Office, Philadelphia, PA.


Salary Range:  SK-09: $54,915 - $83,500


  • You must be a U.S. citizen.
  • Please read all instructions to ensure that you are applying correctly.
  • This position is in the bargaining unit.


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The employee serves as a Case Management Specialist in the Philadelphia Regional Office of the U.S. Securities and Exchange Commission.  The Case Management Specialist has the responsibility for all internal reports and tracking of Enforcement matters under inquiry, investigations, and enforcement actions.


This encompasses information reported in CATS/HUB, the Office's case tracking system, including the information and documentation required to be reported and document on the order, payment and distribution of disgorgement and penalties. It also includes information reported to NRSI and to the collections database maintained in each office. Working under guidelines established by the Office of Chief Counsel, the Case Management Specialist is expected to ascertain continuing information needs for each matter, and to research and obtain information and draft reports necessary to assure that required information is provided in a timely and complete manner.


Develops responses to special requests relative to data in the tracking systems which require research and analysis. Provides notices relative to date of delinquency or deficiency for specific actions, periodic updates and status of cases as required by federal and agency regulations, and alerts for generating notices. Reviews, produces, and/or secures a variety of documents from the tracking and reporting systems such as quarterly status reports, electronic spreadsheets, statistical reports, trend analyses, and special-purpose reports. Provides, obtains, and/or advises on a variety of services essential to the direction and efficient operation of the organization.


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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


SK-09:  Applicant must have one year specialized experience equivalent to at least the GS/SK-07 which includes researching and analyzing established administrative issues; acting as liaison with individuals and groups both inside and outside an organization regarding administrative and/or organizational matters; and preparing a variety of written documents, such as staff papers, status reports, or recommendations.



The experience requirement for SK-09 may be met by successful completion of a master's or equivalent graduate degree; OR 2 full years of progressively higher level graduate education leading to such a degree or LL.B. or J.D., if related.  

Graduate Education: Education at the graduate level in an accredited college or university.   Such education must demonstrate the knowledge, skills, and abilities necessary to do the work.  One year of full-time graduate education is considered to be the number of credit hours that the school attended has determined to represent 1 year of full-time study. If that information cannot be obtained from the school, 18 semester hours should be considered as satisfying the 1 year of full-time study requirement.



Equivalent combinations of successfully completed post high school education and experience may be used to meet the experience requirements. Note:  Applicants who wish to substitute education for the specialized experience must provide copies of transcript(s) to receive credit.

Knowledge, Skills and Abilities: Your application will be assessed against the following KSAs in the occupational questionnaire for this announcement.

·         Knowledge of principles, concepts, and methods of legal research and reference sources sufficient to locate legal decisions and court orders.

·         Skill in communicating, preparing reports, drawing conclusions and recommending courses of action.

·         Knowledge of document management and security measures to ensure against the release of any information that could compromise pending investigations.

·         Ability to extract relevant information from a variety of complex documents, including financial records, court decisions and opinions.  

·         Skill in accessing computerized legal research services (PACER; LEXIS-NEXIS; and Westlaw) in order to maintain Division's case management systems (CATS 2000, the HUB and Phoenix). Manage and monitor the accuracy of data and generate reports.


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, 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-11

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 position.

7. PERMANENT CHANGE OF STATION (PCS): Moving/Relocation 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 is bargaining unit.

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.


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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 or call 202-551-4158.   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.


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

All materials must be received by 11:59 p.m. EST, Tuesday, December 18, 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 788446.  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. Transcripts, unofficial or official (if  you are using education to qualify)

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


Stephanie D. Maxwell
Phone: (202)551-8113
Agency Information:
Securities and Exchange Commission
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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