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This Position Is No Longer Available

Job Title:  Investor Advocate
Agency:  Securities and Exchange Commission
Job Announcement Number:  13-EX-888592-NW

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

The contents of the announcement can still be viewed.
$200,000.00 to $230,700.00 / Per Year
Tuesday, May 07, 2013 to Friday, June 07, 2013
Full Time - Excepted Service Permanent
1 vacancy in the following location:
Washington DC, DC United StatesView Map
US Citizens and Non Citizens


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 the standard Federal benefits, plus a number of exceptional enhanced pay and benefits, including:

·         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 $245 per month

·         Telework Opportunities

·         Domestic Partner Health Insurance Reimbursement Program


As required by section 915 of the Dodd-Frank Wall Street Reform and Consumer Protection Act of 2010, the head of the Office shall be the Investor Advocate, who shall report directly to the Chairman; and be appointed by the Chairman, in consultation with the Commission, from among individuals having experience in advocating for the interests of investors in securities and investor protection issues, from the perspective of investors.


This position is in the Office of the Investor Advocate, located in Washington, DC.


Note: A person serving as the Investor Advocate may not have been employed by the Commission during the 2-year period ending on the date of appointment as Investor Advocate; AND a person having served as Investor Advocate may not be employed by the Commission during the 5-year period beginning on the date on which the person ceases to serve as the Investor Advocate.


*The minimum and maximum salary is $230,700.


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


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The Investor Advocate shall report directly to the Chairman; and


·         assist retail investors in resolving significant problems such investors may have with the Commission or with self-regulatory organizations;

·         identify areas in which investors would benefit from changes in the regulations of the Commission or the rules of self-regulatory organizations;

·         identify problems that investors have with financial service providers and investment products;

·         analyze the potential impact on investors of proposed regulations of the Commission; and proposed rules of self-regulatory organizations registered with the Commission;

·         to the extent practicable, propose to the Commission changes in the regulations or orders of the Commission and to Congress any legislative, administrative, or personnel changes that may be appropriate to mitigate problems identified and to promote the interests of investors; and

·         oversee the overall planning, direction, and timely execution of the Office of Investor Advocate, including development, assignment, and approval of goals and objectives for staff.


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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


To qualify for this position, applicants 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; AND


B. Six years post J.D. experience as a practicing attorney; five years of which includes interpreting and applying the provisions of, and providing sound guidance on Federal securities laws, rules, and regulations and advocating for the interests of investors in securities and investor protection issues, from the perspective of investors.



Knowledge, Skills and Abilities: Your qualifications will be further evaluated based upon the following KSAs. 


·         Experience Advocating on behalf of investors

·         Leading Change/Achieving Results

·         Building Coalitions/Communication

·         Managing an entity or significant component of an entity

·         Ability to analyze complex problems and devise innovative solutions which may have precedent-setting impact

·         Knowledge and understanding 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

·         Knowledge and understanding of the responsibilities, operations, and procedures of the SEC

·         Skill in the preparation and supervision of written reports to senior policymakers

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 is at its full performance level. 

5. TRIAL PERIOD: This appointment may require 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 may be 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 bargaining unit.

Veterans' Preference:  If you are a veteran claiming 5-point veterans' preference, you must submit a copy of your DD-214 or an official statement (including Character of Service) from your command if currently on active duty. If you are claiming 10-point veterans' preference, in addition to the DD-214, you must also submit a Standard Form 15 (Application for 10-Point Veteran Preference) and the proof/documents required by that form.  For more information on veterans' preference see



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 questionnaire.  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 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 apply for this position, you must provide a complete Application Package.


All materials must be received by Friday, June 07, 2013.


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 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.

To fax supporting documents you are unable to upload, complete this cover page using the following Vacancy ID 888592.  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


Other Supporting Documents (if applicable):


·         Veterans' Preference documentation (e.g., DD-214, SF-15, VA Letter)


All documents must be submitted by 11:59 p.m. EST on Friday, June 07, 2013.


Nicole R. Woodard
Phone: (202)551-7466
Fax: (202)777-1028
Agency Information:
Securities and Exchange Commission
100 F Street NE
Washington , DC
20549 Fax: (202)777-1028


After a review of your résumé, required documents and occupational 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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