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

Job Title:Program Specialist

Agency:Securities and Exchange Commission

Job Announcement Number:13-DE-893244-BLS

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

The contents of the announcement can still be viewed.

SALARY RANGE:

$110,910.00 to $185,027.00 / Per Year

OPEN PERIOD:

Friday, May 17, 2013 to Friday, May 31, 2013

SERIES & GRADE:

SK-0301-14

POSITION INFORMATION:

Full Time - Permanent

PROMOTION POTENTIAL:

14

DUTY LOCATIONS:

1 vacancy in the following location:
Washington DC, DC United StatesView Map

WHO MAY APPLY:

United States 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 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:

·         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

 

The Division of Trading and Markets establishes and maintains standards for fair, orderly, and efficient markets. The Division regulates the major securities market participants, including broker-dealers, self-regulatory organizations (such as stock exchanges, FINRA, and clearing agencies), and transfer agents.

This position is in the Division of Trading and Markets, Office of Broker Dealer Finances located in Washington, DC. 

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

KEY REQUIREMENTS

  • You must be a U.S. Citizen

DUTIES:

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As the senior operations specialist in the Office of Broker Dealer Finances, Division of Trading and Markets, you will:

·         Perform on site reviews of specific areas of concern in a wide variety of broker dealer operations support functions and provide an independent evaluation to senior management in the Agency. The range of potential areas for concern could include: conduct an in depth review of the efficiency of the accounting process and related internal controls ( both systemic and manual) to produce an accurate set of books and records daily , e.g. the daily stock record; conduct an in depth review of compliance with Exchange Act Rule 15c3-3 (the Customer Protection Rule), including policies and procedures regarding possession and control requirements and the calculation of the reserve formula deposit requirement; compare and contrast best practices of broker dealers regarding their compliance with Rule 15c3-3; review procedures relating to cash sweep products offered to clients; evaluate the efficacy of processes to resolve the fails to receive and fails to deliver operations; illuminate the efficiency of operations procedures in minimizing the charges to capital emanating from operations units;

·         Monitor and evaluate current industry trends relating to the general field of broker dealer operations, e.g., impact of Reg SHo on short sales and fails to deliver, impact of industry imposed penalty on fails to deliver for selected MBS transactions, adequacy of protection for customer assets under current cash sweep programs.

·         Provide training to Trading and Markets staff on operations disciplines and topics as directed.

·         Provide coordination for operations centric issues across the various divisions and offices in the Agency.

·         Represent the division as directed at conferences or task forces relating to operations issues.

·         Make presentations to senior management.


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.  

 

Minimum Qualification Requirements:  Applicant must have at least one year of specialized experience equivalent to the GS/SK-13 level reviewing books and records postings, stock record or other balancing, verification, or reconciling processes; reviewing Rule 15c3-3a Reserve Formula calculations, including operational charges (e.g., fails to deliver and fails to receive); monitoring and evaluating industry trends relating to broker dealer operations, e.g., internal controls and clearance and settlement processes. OR Reviewing enterprise operational risk processes, including credit risk, margin, and possession and control processes; Reviews of Net capital charges under Rule 15c3-1 arising from operational charges to capital (e.g., unreconciled items); and Monitoring the clearance and settlement processes especially with regard to NSCC,FICC,OCC,DTCC.

 

Knowledge, Skills and Abilities (KSAs): Your qualifications will be further evaluated based upon the KSAs listed below.

·         Knowledge of advanced management theories, concepts, principles, and methods in as it pertain to dealer operations

·         Skill in applying wide range of qualitative and quantitative methods in order to provide strategic program planning, evaluation, and performance measurement/management

·         Skill in oral and written communication

 


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 http://www.usajobs.gov/EI/selectiveservicerequirements.asp#icc.

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. 

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 in the bargaining unit.

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.

 

Schedule A Candidates: For information, please e-mail: DisabilityEmploymentProgram@SEC.gov

HOW YOU WILL BE EVALUATED:

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.


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:

IMPORTANT INFORMATION FOR SURPLUS OR DISSPLACED FEDERAL EMPLOYEES: Career Transition Assistance Plan (CTAP) and Interagency Career Transition Assistance Plan (ICTAP) are 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.

 

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 DisabilityAccommodation@SEC.gov  or call 202-551-4158.  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.

 

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, Friday, May 31, 2013 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.

 

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 893244.  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/pdf_fill/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.



REQUIRED DOCUMENTS:

For this job announcement the following documents are required:

 

1. Your responses to the Occupational Questionnaire

2. Résumé

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

AGENCY CONTACT INFO:

Brenda L. Skipper
Phone: (202)551-4167
Email: SKIPPERB@SEC.GOV
Agency Information:
Securities and Exchange Commission
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-DE-893244-BLS

Control Number:

343723900