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The Investment Adviser/Investment Company Examination Program within the Division of Examinations is filling a few positions for a Securities Compliance Examiner, SK-1831-12 or 13 in the following locations:Atlanta, GA; Boston, MA; Chicago, IL; Denver, CO; Ft. Worth, TX; Los Angeles, CA; Miami, FL; New York, NY; Philadelphia, PA; San Francisco, CA and Washington, DC
Learn more about this agency04/28/2023 to 05/15/2023
$95,764 - $226,078 per year
Starting salary is based on experience. The range is listed for informational purposes. Initial pay will be set below the maximum. Please see below.
SK 12 - 13
Few vacancies in the following locations:
No
Yes—as determined by the agency policy.
Occasional travel - Travel averages 5 days a month.
No
Permanent -
Full-time -
Competitive
14
No
No
23-DE-11922116-CSS
722750200
Federal employees who meet the definition of a "surplus" or "displaced" employee.
U.S. Citizens, Nationals or those who owe allegiance to the U.S.
All US Citizens
The mission of the Division of Examination 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 in the Division of Examinations that is responsible for the nationwide examination and inspection program for investment companies and investment advisers.
Typical Duties Include:
Salary Ranges:
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.
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.
Your qualifications will be evaluated on the following competencies (knowledge, skills, abilities and other characteristics):
You must provide a complete Application Package, which includes:
Education must be accredited by an accrediting institution recognized by the U.S. Department of Education in order for it to be credited towards qualifications. Therefore, provide only the attendance and/or degrees from schools accredited by accrediting institutions recognized by the U.S. Department of Education.
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.
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.
This job originated on www.usajobs.gov. For the full announcement and to apply, visit www.usajobs.gov/job/722750200. Only resumes submitted according to the instructions on the job announcement listed at www.usajobs.gov will be considered.
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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:
