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-845549-DQ

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

The contents of the announcement can still be viewed.


$124,491.00 to $236,956.00 / Per Year


Tuesday, March 05, 2013 to Friday, March 22, 2013




Full Time - Excepted Service Permanent




1 vacancy in the following location(s):
Los Angeles, CA United StatesView Map
Chicago Metro Area, IL United States
Miami, FL United StatesView Map
Boston Metro Area, MA United States
Atlanta, GA United StatesView Map
More Locations  (3)


US Citizens and Non 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 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

·         Telework Opportunities

·         Domestic Partner Health Insurance Reimbursement Program


To find out more, go to


***This vacancy announcement has been amended to include additional locations and to extend the closing date.***


This Assistant Director position is located in the Office of Chief Counsel within the Office of Compliance Inspections and Examinations located in Washington, DC, Atlanta GA, Boston, MA, Chicago, IL, Ft. Worth, TX, San Francisco, CA, Los Angeles, CA or Miami, FL.


Salary Range for:  SK-17 level, Washington, DC-      $134,262 -$223,974 

                                                Atlanta, GA-            $124,491 - $207,674

                                                Chicago, IL-            $135,732 - $226,426

                                                Ft. Worth, TX-        $126,534 - $211,082

                                                San Francisco, CA- $142,044 - $236,956

                                                Miami, FL-               $127,431 - $212,578   

                                                Los Angeles, CA-     $138,758- $231,474

                                                Boston, MA-            $139,720 - $233,079


  • This position is open to all U.S. citizens
  • and persons lawfully admitted for permanent residence
  • and seeking citizenship as outlined in 8 U.S.C. 1324b(a)(3)(B).
  • Travel is required.


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The Compliance Branch provides a comprehensive compliance program for OCIE’s National Examination Program (NEP) to include headquarters’ office and the 11 regional offices. This position will report directly to the Chief Counsel of OCIE and will serve as senior manager directing and managing the Compliance Branch including assessing policy, program, and project feasibility; determine program goals and develop implementation plans; design an organizational structure to promote effective work accomplishment; set effectiveness, efficiency, productivity, and management internal control standards for the NEP’s compliance program; planning, formulating, and executing compliance oversight for the NEP through audits, monitoring and testing; supporting and fostering a culture of compliance by identifying conflicts and setting a tone of high ethical standards (including OCIE’s ethics program); establishing and updated policies and procedures for the NEP; developing and implementing an annual review of the NEP’s policies and procedures; communicating and training NEP staff on policy and procedures; and responding to compliance questions.


The position will also perform human resource management and administrative functions relative to the staff supervised. Further, the position will help ensure established guidelines and performance expectations are communicated, understood, and followed by staff, and will carry out Equal Employment Opportunities (EEO) policies, program, and diversity activities.


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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  


Basic Qualification 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.


Minimum Qualification Requirements: In addition to the Basic Qualifications, candidate must possess specialized experience as described below.


SK-17:  Candidate possess at least four years post J.D. experience as a practicing attorney that also includes at least three years of specialized experience as a practicing attorney developing and preparing guidance on a variety of complex legal issues arising from interpretation and application 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;  ensuring uniformity and consistency of the interpretation and application of laws, statutes, and regulations during audits and/or examinations of financial services firms; managing a compliance program for a financial services firm subject to examinations by federal financial regulators; and identifying new and unique situations from complex and potentially precedent-setting circumstances and recommending proposed resolutions to senior staff.


Knowledge, Skills and Abilities: Your resume will be further evaluated on the following KSAs:  


Ability To Communicate Effectively


Knowledge And Understanding Of The Securities Exchange Acts Of 1933, 1934 And 1940 And Familiarity With Other Federal Securities Laws


Knowledge And Understanding Of Compliance And Ethics Issues


Ability To Analyze Complex Problems And Devise Innovative Solutions


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. The full performance level of this position is SK-17

5. This appointment may require completion of a trial period up to two years.

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 not in the bargaining unit.


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


IMPORTANT INFORMATION FOR SURPLUS OR DISSPLACED FEDERAL EMPLOYEES - Career Transition Assistance Plan (CTAP) and Interagency Career Transition Assistance Plan (ICTAP) is available to individuals who have special priority selection rights under this plan. Individuals must be well-qualified for this position to receive consideration for special priority selection.   CTAP or ICTAP eligibiles will be considered well-qualified when receiving an adjudicated score of 85 or higher.   Federal employees seeking CTAP or ICTAP eligibility must submit proof of meeting the requirements of CFR 330.605(a) for CTAP and 5 CFR 330.704 for ICTAP.   This includes a copy of the agency notice, a copy of your most recent performance rating, and a copy of your most recent SF-50 Notification of Personnel Action notating current position, grade level, and duty location.   You are to annotate in your application that you are applying as a CTAP or ICTAP eligible.


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. 


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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 who request them for the application and hiring process. If you have a disability and would like to apply for non-competitive placement under Schedule and/or you need a reasonable accommodation for any part of the application and hiring process, see information and instructions on


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, Friday, March 22, 2013. 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 845549.  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: 


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

·         Responses to the Occupational Questionnaire


In addition, please submit proof of Bar membership.


Donna M. Quarles
Phone: (202)551-7452
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.

Additional Duty Location Info

1 vacancy in the following locations:
Los Angeles, CA United StatesView Map
Chicago Metro Area, IL United States
Miami, FL United StatesView Map
Boston Metro Area, MA United States
Atlanta, GA United StatesView Map
Fort Worth, TX United StatesView Map
San Francisco, CA United StatesView Map
Washington DC Metro Area, DC United States

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