Clarification from the agency

All US Citizens

If selected, you will join a well-respected team of the National Examination Program in the Denver Regional Office that is responsible for the examination of registered investment companies, investment advisers, broker-dealers, transfer agents, and municipal advisors.

Typical duties include:

• Working as a member of a team of examiners with various levels of experience and professional backgrounds to conduct examinations of securities-related financial institutions registered with the SEC such as investment companies, investment advisers, broker-dealers, transfer agents, and municipal advisor.

• Evaluating possible risks to investors and the financial markets of registered securities-related financial institutions' business models and practices based on review and analysis through modern quantitative techniques when possible of information reported by the institutions to the SEC and other internal and external data sources

• Executing risk-based examination plans, which frequently involves: (i) analyzing a financial institution's operations and procedures, sales practices, supervisory systems, books and records, and financial statements, (ii) reviewing investigatory complaints, (iii) investigating new financial products, (iv) examining specialized securities, (v) interviewing a financial institution's principals, and/or (vi) analyzing performance calculations to assess the level of compliance with federal securities laws and/or self-regulatory organization requirements.

• Developing recommendations and reports, presenting and defending findings, and collaborating as required with legal staff.

Conditions of employment

• You must be a US Citizen.
• 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 level.
• 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.

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.

MINIMUM QUALIFICATION REQUIREMENT:
SK-12: Applicant must have at least one year of specialized experience equivalent to at least the GS/SK-11 level. Specialized experience includes all of the following:

1. Interpreting and applying the provisions of the Investment Advisers Act of 1940, the Investment Company Act of 1940, and/or the Securities Exchange Act of 1934 and related rules and regulations; AND
2. Performing at least two of the following functions: (1) Participating in audits, examinations, investigations, or internal compliance reviews of securities-related financial institutions, such as investment advisers, investment companies, broker-dealers, clearing agencies, or transfer agents; (2) assisting with the review of procedures, practices, and records related to the issuance, distribution, and trading of securities; (3) performing investment analysis and/or management of securities; (4) assisting in the adoption, implementation, or testing of internal controls or internal risk management programs (such as cybersecurity risk management) of financial organizations; (5) engaging in securities trading, portfolio management, or investment management; or (6) engaging in back office support functions such as settlements, clearances, record maintenance, accounting, and IT services for securities-related financial institutions; AND
3. Preparing reports, memoranda, or other documents based on the activities described in choice 2 above; AND
4. Identifying and analyzing compliance issues, such as issues with disclosure, record keeping, financial reporting, or prohibited activities; AND
5. Performing and facilitating interviews to gather operational data and information from employees and management.

1. Interpreting and applying the provisions of the Investment Advisers Act of 1940, the Investment Company Act of 1940, and/or the Securities Exchange Act of 1934 and related rules and regulations; AND
2. Performing at least two of the following functions: (1) Examining, auditing investigating or performing internal compliance reviews of securities-related financial institutions such as investment advisers, investment companies, broker-dealers, clearing agencies, or transfer agents; (2) reviewing the procedures, practices, and records related to the issuance, distribution, and trading of securities; (3) performing investment analysis, and/or management of securities; (4) adopting, implementing, or testing of internal controls or internal risk management programs (such as cybersecurity risk management) of financial organizations; (5) engaging in securities trading, portfolio management, or investment management; or (6) engaging in back office support functions such as settlements, clearances, record maintenance, accounting, and IT services for securities-related organizations; AND
3. Analyzing and reporting on financial and other data gathered through any of the processes listed in choice 2 above using, for example, a relational database management system or through advanced skills with spreadsheets such as Microsoft Excel; AND
4. Developing recommendations and/or reports of findings to resolve issues based on the activities described in choice 2 above; AND
5. Identifying and analyzing compliance issues, such as issues with disclosure, record keeping, financial reporting, or prohibited activities; AND
6. Performing and facilitating interviews to gather operational data and information from employees and management.

How you will be evaluated

You will be evaluated for this job based on how well you meet the qualifications above.

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.

Your qualifications will be evaluated on the following competencies (knowledge, skills, abilities and other characteristics):

• Compliance Examinations, Examination and Financial Expertise, and Technical Communication