The Office of Compliance Inspections and Examinations ("OCIE"). OCIE administers the SEC's nationwide examination and inspection program for registered self-regulatory organizations, broker-dealers, transfer agents, clearing agencies, municipal advisors, investment companies, and investment advisers.
Summary
The Office of Compliance Inspections and Examinations ("OCIE"). OCIE administers the SEC's nationwide examination and inspection program for registered self-regulatory organizations, broker-dealers, transfer agents, clearing agencies, municipal advisors, investment companies, and investment advisers.
The two Securities Compliance Examiner positions are within the Broker-Dealer Examination Program located in Miami, FL or New York, NY.
Salary Ranges:
Miami, FL:
SK-11: $75,166 - $123,610
SK-12: $90,084 - $148,158
SK-13: $107,129 - $176,176
New York, NY:
SK-11: $81,234 - $133,590
SK-12: $97,357 - $160,119
SK-13: $115,778 - $190,400
If selected, you will join a well-respected team in the Broker-Dealer Examination Program that is responsible for the nationwide examination and inspection program for registered self-regulatory organizations, broker-dealers, clearing agencies, transfer agents, municipal advisors, investment companies, and/or investment advisers.
Typical Duties Include:
Working as a member of a team or under the tutelage of higher-graded employees, provides securities compliance examination support for actions being undertaken by the SEC;
Providing technical assistance and support for one or more of Compliance Inspections and Examinations program areas of program emphasis such as self-regulatory organizations, broker-dealers, transfer agents, municipal advisors, municipal and government securities dealers, investment companies, investment advisers and clearing agencies -both clearing corporations and securities depositories- which are registered under the Securities Exchange Act of 1934;
In a developmental capacity providing support for one or more of the Compliance Inspections and Examinations program's examination, investigation and enforcement activities and operations such as reviewing financial statements, evaluating financial accounting systems, coordinating examinations with stock exchanges, reconstructing records, examining and analyzing "street intelligence," analyzing cash-management systems, reviewing investigatory complaints, investigating new financial products, examining specialized securities such as junk bonds, interviewing principals of registrants, analyzing performance calculations, analyzing risk, developing surveillance initiatives; and
Developing recommendations and reports, presenting and defending findings, and as required collaborating with the legal staff.
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.
Supplementary vacancies may be filled in addition to the number stated in this announcement.
This position has promotion potential to the SK-14.
PROBATIONARY PERIOD: This appointment may require completion of a one-year probationary period.
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.
DRUG TESTING: This position may be subjected to drug testing requirements.
PERMANENT CHANGE OF STATION (PCS): Moving/Relocation expenses are not authorized.
DIRECT DEPOSIT: All Federal employees are required to have Federal salary payments made by direct deposit to a financial institution of their choosing.
This position is in the collective bargaining unit.
You may be expected to travel more than 25%.
Qualifications
All qualification requirements must be met by the closing date of this announcement.
Qualifying experience may be obtained in the private or public sector. Experience refers to paid and unpaid experience, including volunteer work done through National Service programs (e.g., Peace Corps, AmeriCorps) and other organizations (e.g., professional; philanthropic; religious; spiritual; community, student, social). Volunteer work helps build critical competencies, knowledge, and skills and can provide valuable training and experience that translates directly to paid employment. You will receive credit for all qualifying experience, including volunteer experience. Qualifying education must have been obtained from an accredited college or university recognized by the U.S. Department of Education.
MINIMUM QUALIFICATION REQUIREMENT: SK-11: Applicant must have at least one year of specialized experience equivalent to the GS/SK-09 level. Specialized experience includes one of the following below:
Applying auditing, examining and/or investigating principles to review records related to the financial preparation and/or presentation, issuance, distribution or trading of securities, and the operational activities or internal controls/ risk management of financial markets, and financial entities such as broker-dealers, clearing agencies, transfer agents, municipal advisors, investment advisers, investment companies and/or other self-regulatory organizations for at least one of the following: (1) sales practices; (2) operations and procedures related to the issuance, distribution or trading of securities; (3) the financial presentation and accounting practices of such entities; or (4) internal controls and risk management. OR
Possess a Ph.D. or equivalent doctoral degree; 3 full years of progressively higher level graduate education leading to such a degree; or LL.M., related to business administration, finance, or accounting. OR
Possess a combination of education and experience which includes education exceeding two years of graduate study and at least six (6) months of specialized experience equivalent to GS/SK-09 level conducting examinations, audits, or reviews of operations and procedures related to the issuance, distribution or trading of securities, and the operational activities of financial markets, and financial entities such as broker-dealers, clearing agencies, municipal advisors, transfer agents, investment advisers, investment companies, and/or other self-regulatory organizations.
SK-12 Applicant must have at least one year of specialized experience equivalent to the GS/SK-11 level. Specialized experience includes the following:
Applying auditing, examining and/or investigating principles to review records related to the financial preparation and/or presentation, issuance, distribution or trading of securities, and the operational activities or internal controls/ risk management of financial markets, and financial entities such as broker-dealers, clearing agencies, transfer agents, municipal advisors, investment advisers, investment companies and/or other self-regulatory organizations for at least one of the following: (1) sales practices; (2) operations and procedures related to the issuance, distribution or trading of securities; (3) the financial presentation and accounting practices of such entities; or (4) internal controls and risk management. AND
Preparing reports, memoranda, financial statements or other documents arising from the activities described above; AND
At least one of the following:
- Interpreting and applying the provisions of the Securities Exchange Act of 1934 and the rules promulgated thereunder. Through this experience, I have displayed an up-to-date knowledge and understanding of these regulatory areas; OR
- Performing and facilitating interviews related to activities in question 1; OR
- Applying detailed analytical processes on financial, compliance, operational, internal audit, or risk management data
SK-13 Applicant must have at least one year of specialized experience equivalent to the GS/SK-12 level. Specialized experience includes the following:
Applying auditing, examining and/or investigating principles to review records related to the financial preparation and/or presentation, issuance, distribution or trading of securities, and the operational activities or internal controls/ risk management of financial markets, and financial entities such as broker-dealers, clearing agencies, transfer agents, municipal advisors, investment advisers, investment companies and/or other self-regulatory organizations for at least one of the following areas: (1) sales practices; (2) operations and procedures related to the issuance, distribution or trading of securities; (3) the financial presentation and accounting practices of such entities; or (4) internal controls and risk management. AND
Preparing reports, memoranda, financial statements or other documents arising from the activities described above; AND
Analyzing, researching, and resolving compliance issues, and interacting with executive management, co-workers, and members of the securities industry to resolve such issues; AND
At least one of the following:
- Interpreting and applying the provisions of the Securities Exchange Act of 1934 and the rules promulgated thereunder. Through this experience, I have displayed an up-to-date knowledge and understanding of these regulatory areas; OR
- Performing and facilitating interviews related to activities in statement 1; OR
- Applying detailed analytical processes on financial, compliance, operational, internal audit, or risk management data.
Additional information
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 be minimally qualified for this position to receive consideration for special priority selection. CTAP or ICTAP eligibles will be considered minimally qualified if they meet the minimum requirements for this position.
Reasonable Accommodation: If you are an applicant who needs a reasonable accommodation for disability to participate in the application process at the SEC, submit the form for Reasonable Accommodation for Participation in Job Application Process here. Please be sure to submit your request at least 5 business days in advance of the date you need the requested accommodation.
Equal Employment Opportunity (EEO) Information for SEC Job Applicants: Federal EEO laws protect all applicants from discrimination on the following bases: race, color, sex (not limited to conduct which is sexual in nature, includes pregnancy, gender identity, sexual orientation, transgender status), age (40 and over), religion, national origin, disability, genetic information, retaliation for participating in the EEO process or opposing discrimination. Applicants who believe they have been discriminated against on any EEO basis can seek recourse through the SEC's administrative complaints process. To be timely, an individual must enter the EEO process within 45 days from when they know (or should have known) of the alleged discrimination. Click here for additional information.
TTY/ASCII: Video Relay Service users are welcome to contact the appropriate SEC office or employee via the contact information listed above. If you do not otherwise have access to a Video Phone or Video Relay service, you may send us an email or use the Federal Video Relay Service via the internet. For more information about using the Federal Relay Service and to create a new account, please see: http://fedvrs.us/
A career with the U.S. government provides employees with a comprehensive benefits package. As a federal employee, you and your family will have access to a range of benefits that are designed to make your federal career very rewarding. Opens in a new windowLearn more about federal benefits.
Eligibility for benefits depends on the type of position you hold and whether your position is full-time, part-time or intermittent. Contact the hiring agency for more information on the specific benefits offered.
How you will be evaluated
You will be evaluated for this job based on how well you meet the qualifications above.
Those candidates who are referred may also be asked to participate in an interview, as well as an "In-Box Exercise" that is designed to measure your analytical writing capabilities.
If you meet the minimum qualifications stated in the vacancy announcement, we will compare your resume and supporting documentation to your responses on the occupational questionnaire. Your resume must support your responses to the occupational questionnaire. After review of your application materials, if you are determined to be minimally qualified, you will be referred to the selecting official. Applicants eligible for Veterans' Preference will receive selection priority over non-veteran preference eligibles.
Your qualifications will be evaluated on the following competencies (knowledge, skills, abilities and other characteristics):
Compliance Examinations, Examination and Financial Expertise, and Technical Communication
A career with the U.S. government provides employees with a comprehensive benefits package. As a federal employee, you and your family will have access to a range of benefits that are designed to make your federal career very rewarding. Opens in a new windowLearn more about federal benefits.
Eligibility for benefits depends on the type of position you hold and whether your position is full-time, part-time or intermittent. Contact the hiring agency for more information on the specific benefits offered.
You must provide a complete Application Package, which includes:
Required: Your responses to the Occupational Questionnaire.
Required: Your complete and comprehensive resume that includes a complete history of your work experience and the applicable employment dates with months and years. To determine if you qualify for this position, OHR will review your work history that is relevant to the specific position for which you applied. If you are an external candidate selected for this position, OHR will review your complete work history to establish your starting salary. If you are a current SEC employee selected for this position, the standard percentage increases will be applied (i.e., 6% for non-supervisory and 8% for supervisory positions) if your selection results in a promotion. If your selection results in lateral movement (i.e. no change in grade) you will maintain your current salary.Note: Your resume must directly address the definition of specialized experience listed in the qualification section of this announcement and 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).
If you are relying on your education to meet qualification requirements:
Failure to provide all of the required information as stated in this vacancy announcement may result in an ineligible rating or may affect the overall rating.
To apply for this position, you must complete the online application and submit the documentation specified in the Required Documents section below.
A complete application package must be submitted by 11:59 PM (EST) on the closing date of the announcement to receive consideration.
To begin, click Apply to access the online application. You will need to be logged into your USAJOBS account to apply. If you do not have a USAJOBS account, you will need to create one before beginning the application.
Follow the prompts to select your résumé and/or other supporting documents to be included with your application package. You will have the opportunity to upload additional documents to include in your application before it is submitted. Your uploaded documents may take several hours to clear the virus scan process.
After acknowledging you have reviewed your application package, complete the Include Personal Information section as you deem appropriate and click to continue with the application process.
You will be taken to the online application which you must complete in order to apply for the position. Complete the online application, verify the required documentation is included with your application package, and submit the application.
To verify the status of your application, log into your USAJOBS account (https://my.usajobs.gov/Account/Login), all of your applications will appear on the Welcome screen. The Application Status will appear along with the date your application was last updated. For information on what each Application Status means, visit: https://www.usajobs.gov/Help/how-to/application/status/.
If you are unable to apply online or need to fax a document you do not have in electronic form, view the following link for information regarding an Alternate Application.
Miami Regional Office
801 Brickell Ave
Suite 1800
Miami, FL 33131
US
Next steps
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 http://usajobs.gov/ 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.).
The Federal hiring process is set up to be fair and transparent. Please read the following guidance.
You must provide a complete Application Package, which includes:
Required: Your responses to the Occupational Questionnaire.
Required: Your complete and comprehensive resume that includes a complete history of your work experience and the applicable employment dates with months and years. To determine if you qualify for this position, OHR will review your work history that is relevant to the specific position for which you applied. If you are an external candidate selected for this position, OHR will review your complete work history to establish your starting salary. If you are a current SEC employee selected for this position, the standard percentage increases will be applied (i.e., 6% for non-supervisory and 8% for supervisory positions) if your selection results in a promotion. If your selection results in lateral movement (i.e. no change in grade) you will maintain your current salary.Note: Your resume must directly address the definition of specialized experience listed in the qualification section of this announcement and 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).
If you are relying on your education to meet qualification requirements:
Failure to provide all of the required information as stated in this vacancy announcement may result in an ineligible rating or may affect the overall rating.
To apply for this position, you must complete the online application and submit the documentation specified in the Required Documents section below.
A complete application package must be submitted by 11:59 PM (EST) on the closing date of the announcement to receive consideration.
To begin, click Apply to access the online application. You will need to be logged into your USAJOBS account to apply. If you do not have a USAJOBS account, you will need to create one before beginning the application.
Follow the prompts to select your résumé and/or other supporting documents to be included with your application package. You will have the opportunity to upload additional documents to include in your application before it is submitted. Your uploaded documents may take several hours to clear the virus scan process.
After acknowledging you have reviewed your application package, complete the Include Personal Information section as you deem appropriate and click to continue with the application process.
You will be taken to the online application which you must complete in order to apply for the position. Complete the online application, verify the required documentation is included with your application package, and submit the application.
To verify the status of your application, log into your USAJOBS account (https://my.usajobs.gov/Account/Login), all of your applications will appear on the Welcome screen. The Application Status will appear along with the date your application was last updated. For information on what each Application Status means, visit: https://www.usajobs.gov/Help/how-to/application/status/.
If you are unable to apply online or need to fax a document you do not have in electronic form, view the following link for information regarding an Alternate Application.
Miami Regional Office
801 Brickell Ave
Suite 1800
Miami, FL 33131
US
Next steps
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 http://usajobs.gov/ 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.).
Fair and transparent
The Federal hiring process is set up to be fair and transparent. Please read the following guidance.
