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

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.


$102,434.00 to $177,298.00 / Per Year


Monday, July 28, 2014 to Monday, August 11, 2014




Full Time - Permanent




1 vacancy in the following location(s):
Washington DC, DC View Map
New York, NY View Map


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 nation’s 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 nation’s 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

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


  • No


  • You must be a U.S. Citizen
  • If applicable, you must be registered with the Selective Service


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 Commission’s 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.


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.

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.

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 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.


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


Back to top
The Federal Government offers a comprehensive benefits package.  Explore the major benefits offered to most Federal employees at


IMPORTANT INFORMATION FOR SURPLUS OR DISPLACED 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 at least meet the requirements of the pre-determined “Well Qualified” quality category to receive consideration for special priority selection.

Reasonable Accommodation Statement: 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 to 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, Monday, August 11, 2014 to be considered.

Please follow the instructions listed below for submitting the resume, 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 1168809.
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.


You must provide a complete Application Package, which includes:

  • Required: Your responses to the Occupational Questionnaire. (Online or 1203-FX)
  • Required: Your resume showing relevant duties, when the duties were performed (MM/YY), and your work schedule. Note: Resumes must NOT contain pictures.
  • Required, if applicable: CTAP/ICTAP documentation (a copy of a separation notice or other proof of eligibility for priority selection; a copy of an SF-50, Notification of Personnel Action, showing current position, grade, promotion potential, and duty location; AND a copy of your most recent performance appraisal.)
  • Required, if applicable: Veteran's Preference Documentation (DD-214, Member Copy 4 or other documentation containing dates of service and character of discharge. Disabled veterans and other applicants eligible for 10-point Veteran's Preference please include: documentation to validate your claim - VA letter, SF-15, etc).


Casandra M. Hall
Phone: (202)551-4284
Agency Information:
Securities and Exchange Commission
100 F Street NE
Washington, DC


You will be notified of your application status through USAJOBS at four points during the hiring process, as applicable. You can check the status of your application by accessing the USAJOBS website at and clicking on “Track Your Online Application.”

By submitting your application, you are certifying the accuracy of the information contained in your application. If you make a false statement in any part of your application, you may not be hired, you may be terminated after you begin work, or you may be fined or jailed. After making a tentative job offer, we will conduct a suitability/security background investigation. You will be required to submit official documentation before appointment. The agency will then verify the information provided on your application (i.e., degree, Veterans’ Preference, certification of disability, etc.).

Back to top
Print Preview

Job Announcement Number:


Control Number: