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SECURITIES COMPLIANCE EXAMINER

Securities and Exchange Commission
Division of Enforcement - Crypto Assets and Cyber Unit (CACU)
This job announcement has closed

Summary

This position is in the Division of Enforcement's Crypto Assets and Cyber Unit (CACU) and will be located in one of the following locations: Boston, MA; Chicago, IL; Los Angeles, CA; Miami, FL; New York, NY; Philadelphia, PA; San Francisco, CA; and Washington, DC.

The Division of Enforcement's CACU operates on a nationwide basis, exercises the full range of the Division's investigative and law enforcement powers, and focuses on violations of the federal securities laws.

Overview

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Reviewing applications
Open & closing dates
10/21/2024 to 11/04/2024
Salary
$158,133 to - $284,600 per year
Pay scale & grade
SK 16
Locations
1 vacancy in the following locations:
Los Angeles, CA
San Francisco, CA
Washington, DC
Miami, FL
Remote job
No
Telework eligible
Yes—as determined by the agency policy.
Travel Required
50% or less - US and International travel may be expected for 5 to 10 days per month for this position.
Relocation expenses reimbursed
No
Appointment type
Permanent
Work schedule
Full-time
Service
Competitive
Promotion potential
16
Supervisory status
No
Security clearance
Top Secret
Drug test
Yes
Position sensitivity and risk
Critical-Sensitive (CS)/High Risk
Trust determination process
Financial disclosure
Yes
Bargaining unit status
Yes
Announcement number
24-IN-12581247-VM
Control number
815022700

This job is open to

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Clarification from the agency

Well-qualified surplus/displaced Federal employees (i.e. CTAP/ICTAP) in the local area and current SEC employees in permanent competitive service positions.

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Duties

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At the Securities and Exchange Commission (SEC), we are committed to diversity, equity, inclusion and accessibility (DEIA) and value a workforce that reflects the diverse experiences and perspectives of the communities we serve. As such, we welcome applications from qualified individuals of all backgrounds who share our commitment to public service.

Typical duties include:

  • Serving as a subject matter expert and advisor in understanding and interpreting AI technical subject matter, including relevant industry trends and tools for AI-based fraud schemes, governance, data privacy and security, and system audits and monitoring.
  • Analyzing large data sets such as trading data in intrusion/manipulation investigations, and using data science capabilities to draw analytical conclusions from structured datasets, to include programming languages such as python or R.
  • Identifying topics for analysis involving relevant illicit financial activities that feature, or claim to feature, AI-based technologies.
  • In cases involving both AI and crypto assets, serving as a tracing specialist with commercial and public blockchain explorers (tracing, understanding of technology, industry trends, and lead generation).
  • Formulating investigative AI-featured case methodology and identifying innovative analytical techniques for accomplishing project objectives which can be reproduced, and taught, to fraud analysts.
  • Conducting analysis and developing findings of the most high-profile and sensitive cases; and formulating conclusions about compliance with statutory and regulatory requirements.
  • Drafting and preparing detailed reports, presentations, and data analyses which are typically used by investigative attorneys and managers to assist in decision making.
  • Providing support to enforcement staff in carrying out high-level, high-visibility and sensitive assignments frequently requiring immediate action.
  • Assisting in other CACU activities including the creation of reference materials, talking points or training for the CACU or the Enforcement Division or others.

Requirements

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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-16.
  • 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, NTEU Chapter 293.
  • This position is eligible to request telework in accordance with the SEC 's telework policy.
  • Existing Participants in the SEC’s Remote Telework Program are eligible to apply for this position. If selected, management will evaluate and communicate whether the position will allow for continued participation in Remote Telework.
  • This position requires a Top Secret Clearance.

Qualifications

All qualification requirements must be met by the closing date of this announcement.

Time-in-grade for this announcement is one year at the GS/SK-14 level.

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-16: Applicant must have at least one year of specialized experience equivalent to the GS/SK-14 level performing two or more of the following functions:

  1. Analyzing and interpreting AI-based technical subject matter such as relevant industry trends and tools for AI-based fraud schemes, governance, data privacy and security, and system audits and monitoring; OR
  2. Planning, developing, and leading data science functions by contributing coding solutions while advising attorneys in analyzing structured datasets; OR
  3. Serving as an advisor for AI-related projects (understanding of technology, industry trends, and lead generation) in multiple roles with internal and external criminal and civil regulatory partners.

Additional information

Salary Ranges:
Boston, MA: $167,729 - $284,600
Chicago, IL: $165,746 - $281,486
Los Angeles, CA: $172,647 - $284,600
Miami, FL: $158,133 - $268,557
New York, NY: $174,427 - $284,600
Philadelphia, PA: $163,382 - $277,471

San Francisco, CA: $184,810 - $284,600
Washington, DC: $169,368 - $284,600


Disability Employment: For information on disability appointments, please visit http://www.opm.gov/policy-data-oversight/disability-employment/

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 well-qualified for this position to receive consideration for special priority selection. CTAP or ICTAP eligibles will be considered well-qualified when receiving an adjudicated score of 80 or higher.

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.

The Fair Chance Act prohibits specific inquiries concerning an applicant's criminal or credit background unless the hiring agency has made a conditional offer of employment to the applicant. An applicant may submit a complaint, or any other information, to the agency within 30 calendar days of the date of alleged non-compliance by contacting the Legal and Policy Office in the Office of Human Resources at ElliottT@sec.gov.

How you will be evaluated

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

Your resume and supporting documentation will be used to determine whether you meet the job qualifications listed on this announcement. If you are basically qualified for this job, your resume and supporting documentation will be compared to your responses on the Occupational Questionnaire. If you rate yourself higher than is supported by your application materials, your responses may be adjusted and/or you may be excluded from consideration for this job. If you are found to be among the top candidates, you will be referred to the selecting official for employment consideration.

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

  • Knowledge Management, Technical Communication, and Technical Competence
The Occupational Questionnaire will take you approximately 10 minutes to complete. To preview the Occupational Questionnaire, click the following link https://apply.usastaffing.gov/ViewQuestionnaire/12581247.

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