Skip to main content Skip to footer site map
This Position Is No Longer Available

Job Title:  Supervisory Securities Compliance Examiner
Agency:  Securities and Exchange Commission
Job Announcement Number:  13-DE-917908-DQ

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

The contents of the announcement can still be viewed.
$150,372.00 to $230,700.00 / Per Year
Wednesday, July 10, 2013 to Friday, August 09, 2013
Full Time - Permanent
1 vacancy in the following location(s):
Los Angeles, CA United StatesView Map
Chicago Metro Area, IL United States
Atlanta, GA United StatesView Map
Fort Worth, TX United StatesView Map
Miami, FL United StatesView Map
More Locations  (7)
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 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:


·        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


 To find out more, go to


This position is in the Office of Broker Dealer within the Office of Compliance Inspections and Examinations located in Washington, DC or in any one of the Regional Offices. 


The Office of Compliance Inspections and Examinations (OCIE) is responsible for the overall oversight of the Investment Company, Investment Advisers, Broker Dealers, Clearing Agencies, Transfer Agents, and Self-Regulatory Organizations programs, and, in particular, the SEC’s national examination program (NEP).  The OCIE protects investors through administering the SEC's NEP in Washington, DC and in the Commission's 11 regional offices who conduct examinations of the nation's registered entities including broker-dealers, transfer agents, investment advisers, investment companies, the national securities exchanges, clearing agencies, self-regulatory organizations (SRO’s) such as the Financial Industry Regulatory Authority and the Municipal Securities Rulemaking Board, and the Public Company Accounting Oversight Board .  OCIE’s mission is to protect investors, ensure market integrity and support capital formation through risk-focused strategies that: (1) improve compliance; (2) prevent fraud; (3) monitor risk; and (4) inform policy. The examination program plays a critical role in encouraging compliance within the securities industry, which in turn also helps to protect investors and the securities markets generally. 



  • This position is open to U.S. citizens.
  • Travel is required.


Back to top

This Associate Director for the Office of Compliance Inspections and Examinations is the National Associate Director for the Broker Dealer Program, and is responsible for the administration and execution of the Commission's nationwide programs relating to the examination of Broker Dealers, including managing, supervising, planning and directing the conduct of the Broker Dealer examination programs. The incumbent will be responsible for the following: 1) developing a comprehensive program of examinations of Broker Dealers and for coordination and oversight of the Commission’s nationwide broker dealer examination programs. This includes verifying that all regional offices are carrying out the examination program consistently; and recommending and developing new methods, forms and procedures to protect investors and maintain market integrity; 2) interfacing with the other divisions and offices at the SEC to convey OCIE’s positions on policy; understand policy being formulated by such divisions and offices, and determine the effect of proposed rules and statutory changes on the inspections and examination program; and 3) the management of the examiners in the headquarters office program, including special examinations and sweeps; and short-term studies, surveys and examinations to detect trends or keep abreast of problem areas; and international examinations.  






Back to top

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




For the SO-01 level: Candidate must possess at least one year of specialized experience equivalent to at least the GS/SK-14 level interpreting and applying the provisions of the Securities Exchange Act of 1934, the Securities Act of 1933, the Investment Company Act of 1940 and/or the Investment Advisers Act of 1940; evaluating policy issues of the federal securities laws; identifying volatile practices intended to take advantage of or defraud investors; and managing an organization that conducts examinations or audits, and/or applying accounting/ auditing concepts and rules applicable to the securities industry or other regulated entities.  


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


Management Experience


Leading Change/Achieving Results


Building Coalitions/Communications 


Knowledge and Understanding of the Securities Exchange Act of 1934, Securities Act of 1933, the Investment Company Act of 1940, and the Investment Advisers Act of 1940 


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. This position has promotion potential to the SO-02

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 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 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:  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 



Back to top

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 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:



Back to top

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, August 09, 2013 to be considered. 


Please follow the instructions listed below for submitting the Résumé, Occupational Questionnaire 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.


1. To begin, click Apply Online to create a USAJOBS account or log in to your existing account. Follow the prompts to select your USAJOBS resume and/or other supporting documents and complete the occupational questionnaire.

2. Click the Submit My Answers button to submit your application package.

3. To verify your application is complete, log into your USAJOBS account,, select the Application Status link and then select the more information link for this position. Your uploaded documents may take several hours to clear the virus scan process.

4. To return to an incomplete application, log into your USAJOBS account and click Update Application in the vacancy announcement.  You must re-select your resume and/or other documents from your USAJOBS account or your application will be incomplete.

Faxing Applications or Supporting Documents:

You are encouraged to apply online.  Applying online will allow you to review and track the status of your application.

If you completed the occupational questionnaire online and are unable to upload supporting document(s):


1. Print the following cover page and provide the required information.  The Vacancy ID is 917908.

2. Fax your documents to 1-478-757-3144.


If you cannot complete the Application Package online, you may fax all of your materials.  Keep a copy of your fax confirmation in the event verification is needed.


To complete the occupational questionnaire and submit via fax:

1. Click the following link to view and print the occupational questionnaire View Occupational Questionnaire.

2. Print the 1203FX form, follow the instructions and provide your responses to the occupational questionnaire items

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



Alaina Tshontikidis
Phone: (202)551-4108
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
Atlanta, GA United StatesView Map
Fort Worth, TX United StatesView Map
Miami, FL United StatesView Map
San Francisco, CA United StatesView Map
Boston Metro Area, MA United States
Washington DC Metro Area, DC United States
Salt Lake City, UT United StatesView Map
New York, NY United StatesView Map
Denver, CO United StatesView Map
Philadelphia Metro Area, PA United States

Back to top
EEO Policy Statement | Reasonable Accommodation Policy Statement | Veterans Information | Legal and Regulatory Guidance