Job Title:Securities Compliance Examiner
Agency:Securities and Exchange Commission
Job Announcement Number:14-DE-1168809-CMH
This position is closed and no longer accepting online applications through USAJOBS.
The contents of the announcement can still be viewed.
/ Per Year|
|Monday, July 28, 2014 to
Monday, August 11, 2014|
SERIES & GRADE:
|Full Time -
|1 vacancy in the following location(s):|
Washington DC, DC View Map
New York, NY View Map
WHO MAY APPLY:
|United States Citizens |
The U.S. Securities and Exchange Commission is looking for the best and brightest to join our team. Our mission includes advocating for investors who seek to secure a future for their family, providing guidance and regulations for the nations securities industry in an increasingly global market, and taking action with an eye toward promoting the capital formation necessary to sustain economic growth.
A career with the Securities and Exchange Commission (SEC) offers work that is exciting, challenging and rewarding. You can contribute to securities regulation and enforcement while making a positive difference for the American investing public. The SEC provides:
- Careers that broaden and deepen your already accomplished knowledge, skills and abilities;
- An environment that allows you to work and learn with the nations experts;
- Benefits, compensation and career expansion opportunities; and
- A balance between your professional and family life.
To find out more about the SEC, go to http://www.sec.gov.
The SEC offers a number of enhanced pay and benefits plus the standard Federal benefits:
- Paid dental and vision insurance;
- Subsidy for health insurance, which supplements your health benefits premiums by $25 for self-only coverage and by $50 for family coverage;
- Domestic Partner Health Insurance Reimbursement Program;
- Mass transportation subsidy;
- "WorkSmart" - Opportunities for flexible work schedules and expanded telework
The Office of Credit Ratings ("OCR") assists the Commission in executing its responsibility for protecting investors, promoting capital formation, and maintaining fair, orderly, and efficient markets through the oversight of credit rating agencies registered with the Commission as "Nationally Recognized Statistical Rating Organizations" or "NRSROs." In support of this mission, OCR monitors the activities and conducts examinations of registered NRSROs to assess and promote compliance with statutory and Commission requirements.
This Securities Compliance Examiner position is in the Office of Credit Ratings located in Washington, DC or New York, NY.Salary Range:
Washington, DC - SK-13: $102,434 - $168,456
New York, NY - SK13: $107,811 - $177,298
- Occasional Travel
- Domestic and International travel maybe required
- You must be a U.S. Citizen
- If applicable, you must be registered with the Selective Service
DUTIES:Back to top
Typical Duties Include:
The incumbent functions as a Securities Compliance Examiner within the examination program in the Office of Credit Ratings. The program includes examinations of NRSROs located outside the U.S. Conducts regular meetings with NRSRO personnel, analyzes market trends within the credit rating agency industry, solicits views of other market participants and assesses the impact of planned or proposed Commission rules and regulations. Participates in examinations of NRSROs for compliance with Commissions rules and applicable provisions of the Exchange Act. Works closely with other Commission staff in the preparation of studies and reports.
Researches and analyzes a wide variety of securities issues. Determines pertinent issues and collects relevant information from a range of sources. Reviews information and applies standard analytical techniques. Drafts detailed reports that include information about the NRSRO's activities.
Interviews company principals in order to understand company processes and elicit additional information. Conducts interviews with credit analysts, compliance personnel, financial controllers, operations personnel and internal and outside counsel. Interviews users of credit ratings including investors, bankers, and regulators and others in order to understand broader context of credit rating agency industry.
Analyzes formal filings made by the NRSRO with the SEC, periodic reports, and computer data applicable to the activities for the NRSRO. Reviews prior inspections findings and information from other regulators; and evaluates intelligence obtained from internal records and external financial publications and databases. Conducts examinations, as needed, to support these functions. Assists in development of an examination plan and determines the scope and depth of fact-finding required, based on risk assessment of the NRSRO's activities and financial condition. Drafts reports, including evaluative commentaries appropriate to the operations of the NRSRO. Report indications of developing problem areas, and projections of industry trends and characteristics.
QUALIFICATIONS REQUIRED: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 sector. Additional qualifications information can be found here.
MINIMUM QUALIFICATION REQUIREMENTS: Applicant must have one year of specialized experience equivalent to at least the GS/SK-12 level applying auditing, examining and/or investigating principles to review records related to the issuance, distribution or trading of securities and the operational activities of financial markets, and related to financial entities such as broker dealers, clearing agencies, transfer agents, credit rating agencies, investment advisers, investment companies and/or self-regulatory organizations; conducting interviews, briefings, and presentations; researching compliance issues requiring probing and analysis. Experience with regulatory compliance or examinations of registrants outside the United States is preferred.
1. Application procedures are specific to this vacancy announcement. Please read all the instructions carefully. Failure to follow the instructions may result in you not being considered for this position.
2. Supplementary vacancies may be filled in addition to the number stated in this announcement.
3. This position has promotion potential to the SK-13.
4. PROBATIONARY PERIOD: This appointment may require completion of a one-year probationary period.
5. 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.
6. PERMANENT CHANGE OF STATION (PCS): Moving/Relocation expenses are not authorized.
7. DIRECT DEPOSIT: All Federal employees are required to have Federal salary payments made by direct deposit to a financial institution of their choosing.
8. This position is in the collective bargaining unit.
HOW YOU WILL BE EVALUATED:
We will review your resume and supporting documentation to determine if you meet the minimum qualifications for the position. If you meet the minimum qualifications stated in the vacancy announcement, we will compare your resume and supporting documentation to your responses on the scored occupational questionnaire. Your resume must support your responses to the scored occupational questionnaire. If it is determined you meet minimum qualification requirements, your application will then be placed in one of three categories: Highly Qualified, Well Qualified, or Qualified. Within these categories, applicants eligible for Veterans' Preference will receive selection priority over non-veteran preference eligibles.
You will be rated on the following Knowledge, Skills, and Abilities (KSAs):
- Knowledge of federal securities laws, rules, and regulations in order to plan, organize, and conduct audits, examinations, investigations, or reviews.
- Ability to gather, compile and analyze financial and other exam-related information and to present to internal and external audiences.
- Ability to convey technical information in formal and informal settings.
The Occupational Questionnaire will take you approximately 20 minutes to complete. To preview the Occupational Questionnaire, click the following link View Assessment Questions