Clarification from the agency

All US Citizens - EXTENDED ANNOUNCEMENT UNTIL 01/21/2022

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The Division of Examinations conducts the SEC's National Exam Program. The Division's mission is to protect investors, ensure market integrity and support responsible capital formation through risk-focused strategies that: (1) improve compliance; (2) prevent fraud; (3) monitor risk; and (4) inform policy. The results of the Division's examinations are used by the SEC to inform rule-making initiatives, identify and monitor risks, improve industry practices and pursue misconduct.

If selected, you will join a well-respected team that is responsible for supporting EXAMS' mission to conduct and coordinate the nationwide examination program for entities over which the Commission has regulatory authority.

As a Securities Compliance Examiner, you will:

• Work 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;
• Provide 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
• Develop recommendations and reports, presenting and defending findings, and as required collaborating with the 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.
• 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.
• Due to COVID-19, the SEC is currently in an optional telework posture. This position is eligible to request telework in accordance with the SEC 's telework policy.
• All SEC employees (whether teleworking or working onsite) who are not approved for a reasonable accommodation must be fully vaccinated against COVID-19.
• For information about where to obtain a vaccine at no cost to you, please visit Vaccines.gov.
• Typical Examiner Travel: Examination staff routinely travel to the offices of registered entities to conduct on-site inspections of facilities, to meet with and interview entity personnel, and to examine certain business records.

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-09: Applicant must have at least one year of specialized experience equivalent to the GS/SK-07 level or meet one of the education levels described below. Specialized experience includes performing at least one of the following areas:

1. (1) Assisting with the audits, examinations, investigations, or compliance reviews of federally regulated financial institutions;
   (2) Assisting with the analysis of financial, operations or securities data; or
   (3) Assisting with the review of policies and procedures, internal controls, or internal risk management programs;
   (4) Engaging in back office support functions such as settlements, clearances, record maintenance, accounting, and IT services for securities-related financial institutions.
2. Master's or equivalent graduate degree in business administration, finance or accounting; 2 full years of progressively higher level graduate education leading to such a degree in business administration, finance or accounting; or LL.B. or J.D. if related. Such education must demonstrate the knowledge, skills, and abilities necessary to do the work. One year of full-time graduate education is considered to be the number of credit hours that the school attended has determined to represent 1 year of full-time study. If that information cannot be obtained from the school, 18 semester hours should be considered as satisfying the 1 year of full-time study requirement;
3. A combination of education and experience which includes education exceeding one year of graduate study in business administration, finance or accounting and at least six (6) months of specialized experience equivalent to GS/SK-07 level as described in 1 above.

1. (1) Assisting with the 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) Analyzing financial, operations or securities data;
   (3) Assisting with projects focused on topics related to the control functions of a financial services firm; e.g. the review of procedures, practices, and records related to the issuance, distribution, and trading of securities, risk management, accounting treatment, capital treatment, financing structures, or assessment of risk controls;
   (4) Engaging in back office support functions such as settlements, clearances, record maintenance, accounting, and IT services for securities-related financial institutions.
2. A Ph.D. or equivalent doctoral degree; LL.M., or 3 full years of progressively higher level graduate education leading to such a degree; if related to business administration, finance, or accounting.
3. A combination of education and experience which includes education exceeding two years of graduate study in business administration, finance or accounting and at least six (6) months of specialized experience equivalent to GS/SK-09 level (1) conducting the activities described in answer choice 1 above.

How you will be evaluated

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

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