The Director position is in the Office of the Investor Advocate (OIAD) located in Washington, DC and is open to all US citizens, with the exception of current SEC employees and the limitations set forth below.
An individual who serves as the Investor Advocate may not be employed by the Commission:
(1) During the 2-year period ending on the date of appointment as Investor Advocate; or
(2) During the 5-year period beginning on the date on which the person ceases to serve as the Investor Advocate
Summary
The Director position is in the Office of the Investor Advocate (OIAD) located in Washington, DC and is open to all US citizens, with the exception of current SEC employees and the limitations set forth below.
An individual who serves as the Investor Advocate may not be employed by the Commission:
(1) During the 2-year period ending on the date of appointment as Investor Advocate; or
(2) During the 5-year period beginning on the date on which the person ceases to serve as the Investor Advocate
Well-qualified surplus/displaced Federal employees (i.e. CTAP/ICTAP) in the local area and current/former Federal employees in permanent competitive service positions (i.e. status candidates). VEOA eligibles and those eligible for non-competitive appointment under special hiring authority such as Individuals with Disabilities, Military Spouses, VISTA/Peace Corps, some Land Management employees, and certain veterans (e.g., 30% Disabled). See link in "How to Apply" for additional information.
If selected, you will serve as the Investor Advocate, Office of the Investor Advocate.
Typical duties include:
Identifying areas in which investors would benefit from regulatory changes and proposing appropriate changes to the SEC and self-regulatory organizations.
Identifying investor problems with financial service providers and investment products.
Conducting outreach to investors to solicit views on relevant issues.
Analyzing the potential impact on investors of proposed SEC regulations or SRO rules, including through conducting investor research.
Assisting investors in resolving problems with the SEC or SROs, including through supervision of the SEC's Ombudsman.
Proposing to Congress changes that would mitigate problems identified and promoting the interests of investors.
Adhering to nondiscriminatory employment practices.
Interacting with a variety of organizations and individuals, including Commissioners, SEC staff and management, Congress, and the general public.
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 and may be filled from any division or office within the agency.
This position has promotion potential to the SO-3.
SUPERVISORY PROBATIONARY PERIOD: This appointment may require completion of a two-year supervisory 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 not in the collective bargaining unit.
This position is open to status candidates.
PROBATIONARY PERIOD: This appointment may require completion of a one-year probationary period.
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.
Applicants are responsible for confirming all required materials are submitted by the deadline. Please check the 'How You Will Be Evaluated' and 'Required Documents' sections carefully, as missing documents will render the application incomplete and ineligible for review.
MINIMUM QUALIFICATION REQUIREMENT:
SO-3 : Applicant must have at least one year of specialized experience equivalent to the GS/SK-14 level. Specialized experience includes the following:
Advocating for the interests of investors in securities and investor protection issues, from the perspective of investors;
Recommending statutory, regulatory or policy changes/solutions;
Interpreting and applying the provision of federal or state securities laws or the rules of self-regulatory organizations;
Analyzing legal and/or factual issues in regards to corporate governance, accounting, corporate disclosures, or related matters; AND
Analyzing the impact of federal or state securities laws and/or the rules of self-regulatory organizations on retail investors, including under-served or vulnerable groups (e.g., minorities, women, older investors).
Additional information
SEC COMPENSATION PROGRAM: The overall salary range listed above is provided for informational purposes as it represents the full range that is applicable to current employees in this occupation/grade; however, a selectee's initial pay is always set below the maximum rate of the range. Please click here for additional information.
Veterans Employment Opportunity Act (VEOA): To be eligible for a VEOA appointment under Merit Promotion procedures, you must be a preference eligible or a Veteran separated after 3 years or more of continuous active service performed under honorable conditions.
LAND MANAGEMENT WORKFORCE FLEXIBILITY ACT (LMWFA): The LMWFA provides current or former temporary or term employees of federal land management agencies opportunity to compete for permanent competitive service positions. Individuals must have more than 24 months of service without a break between appointments of two or more years. Service must be in the competitive service and have been at a successful level of performance or better. For more information, click here.
Noncompetitive Appointment Authorities: For more information on noncompetitive appointment authority eligibility requirements:
Reasonable Accommodation: If you are an applicant who needs a reasonable accommodation to participate in the SEC application process due to a medical disability, please contact reasonableaccommodation@sec.gov. For religious-based accommodations, please contact religiousaccommodation@sec.gov . 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, religion, sex, pregnancy, national origin, political affiliation, sexual orientation, marital status, disability, genetic information, age, membership in an employee organization, retaliation, parental status, military service or other non-merit factor. 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.
Candidates should be committed to improving the efficiency of the Federal government, passionate about the ideals of our American republic, and committed to upholding the rule of law and the United States Constitution.
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.
Your resume and application package will be reviewed to determine whether you meet the qualification requirements outlined in this announcement.
If you are found minimally qualified, a rating panel will review your resume and Accomplishment Record narratives. Narratives should clearly demonstrate your proficiency in the following competencies:
Leading the Organization: Build and support the vision, create strategies to achieve the vision, support and lead innovative and creative initiatives to meet organizational goals.
Leading and Developing People: Recruit, lead, develop and manage the workforce, manage differences and potential conflicts between employees, build teams that meet and exceed an organization's mission, strategic plan, and goals.
Results Orientation: Meet organizational goals by managing a program, identifying and solving important problems, making sound and timely decisions, and managing and sharing information.
Building Coalitions: Build coalitions by partnering with others to build strategic relationships and influencing and negotiating to achieve favorable outcomes.
General Legal Guidance: Apply and explain the provisions of the laws, rules, and regulations that govern the securities industry.
Strategic Thinking/Execution: Realize an organization's vision, anticipate, identify, and address the impact and link them to capabilities and potential of the organization. Capitalize on opportunities and manages risks affecting investors under federal securities laws.
Influencing/Negotiating: Effect change to gain buy-in to achieve desired organizational outcomes and advocating for the interests of investors.
Your resume must support the claims made in your Accomplishment Record narratives; both documents must effectively showcase your qualifications. Each competency narrative should detail one specific, relevant example from your training or experience. Please limit each response to a maximum of 300 words. Any text beyond this limit will not be considered during the evaluation. Upload one pdf or Word document with your narrative responses to each of the seven competencies. Your responses must be in the below format:
Competency Title
Position title and dates from your resume that this experience was obtained
Describe the situation (i.e., the challenged faced, the problem solved)
Describe the specific actions you took
State the outcome, results, or long-term impact of your accomplishment
Name and email address of someone who can verify this information
Basis for Rating: The rating panel will evaluate applicants' accomplishment records and resume, then place them into one of the following categories: Highly Qualified, Well Qualified and Qualified.
Highly Qualified - Meets the minimum qualification requirements and has extensive skills and experience in most of the job related competencies above.
Well Qualified - Meets the minimum qualification requirements and has a moderate amount of skills and experience in most of the job related competencies above.
Qualified - Meets the minimum qualification requirements, but may have a limited amount of experience in several of the job related competencies.
Top ranked applicants will be referred to the hiring office for further review and consideration. The hiring office may directly contact recommended candidates for interview(s). When the selection is made, applicants will be sent a referral status notification and a final disposition notification.
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: Resume - To meet the minimum qualification requirements for this position, you must show that you possess the specialized experience related to this position within your two-page resume - NOT TO EXCEED 2 PAGES. Resumes over the 2-page limit, will not be reviewed beyond page 2. It is recommended that you include the title, series, and grade (e.g. Human Resources Specialist, SK-0201-14) for all relevant Federal experience. Your resume should highlight the competencies required for the position and include examples of experience, education, and accomplishments applicable to the qualification(s) and include specific employment dates (month and year and start and ends dates) and differentiate between full-time and part-time work. To help ensure the resume review fully credits your relevant experience, we recommend clearly referencing the competency and specialized experience demonstrated in each position or example you include in your resume. If your resume does not reflect demonstrated evidence of these qualifications, you may not receive consideration for the position. Candidates external to the SEC will be allowed to submit a comprehensive resume for pay setting purposes after a tentative offer is made. If the applicant fails to provide the comprehensive resume by the specified deadline, the resume submitted at the time of application will be used to determine pay. No additional documentation will be accepted after the deadline. Note: Your resume must NOT contain pictures. For external candidates: Information on how your resume will be used for pay setting purposes can be found here.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 10% 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. If your selection results in a change in grade from an SK-15 to an SK-16 you will maintain your current salary. For helpful guidance for writing a two-page resume, click here.
Required: Accomplishment Record - For each competency, applicants must provide a 300 word or less written narrative describing one example of competency-related experience. Each example should document the position title and dates when the experience was obtained, detailed information about the problem or situation, the specific actions taken by the applicant, and the results or outcomes achieved by those actions. The applicant will also provide the name and contact information of an individual who can verify the provided information. This document must be uploaded to the application under Accomplishment Record. An accomplishment record submitted outside the USA Staffing system will not be accepted. Failure to provide the Accomplishment Record will result in a rating of IFFM: You were not considered because you did not submit all required documents and/or they were not in English as specified in the announcement.
Required, if you are a current or former Federal employee*: Your most recent Promotion, Within Grade Increase (i.e. WGI), or Appointment/Conversion SF-50 or non-award Notification of Personnel Action (if applying as a current or former Federal Employee) must show you are/were in the competitive service and the highest grade or promotion potential held. Note: If you are in the excepted service, your current agency must have an interchange agreement with OPM - for a list of agencies with current interchange agreements please click here.
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: VEOA documentation (DD-214, member 4 copy or other documentation containing dates of service and character of discharge.)
Required, if applicable: Special Hiring Authority eligibility documentation (VA letter, Schedule A eligibility letter, Peace Corp letter, etc)
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.
IMPORTANT INFORMATION FOR SURPLUS OR DISPLACED FEDERAL EMPLOYEES: If you have never worked for the federal government, you are not I/CTAP eligible. To receive selection priority for this position, you must: (1) meet CTAP or ICTAP eligibility criteria; the questionnaire asks you to identify your ICTAP/CTAP eligibility (2) be rated well-qualified; and, (3) submit the appropriate documentation to support your CTAP or ICTAP eligibility. View information about I/CTAP eligibility on OPM's Career Transition Resources website.
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 resume 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.
Office of Investor Advocate
100 F Street NE
Washington, DC 20549
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: Resume - To meet the minimum qualification requirements for this position, you must show that you possess the specialized experience related to this position within your two-page resume - NOT TO EXCEED 2 PAGES. Resumes over the 2-page limit, will not be reviewed beyond page 2. It is recommended that you include the title, series, and grade (e.g. Human Resources Specialist, SK-0201-14) for all relevant Federal experience. Your resume should highlight the competencies required for the position and include examples of experience, education, and accomplishments applicable to the qualification(s) and include specific employment dates (month and year and start and ends dates) and differentiate between full-time and part-time work. To help ensure the resume review fully credits your relevant experience, we recommend clearly referencing the competency and specialized experience demonstrated in each position or example you include in your resume. If your resume does not reflect demonstrated evidence of these qualifications, you may not receive consideration for the position. Candidates external to the SEC will be allowed to submit a comprehensive resume for pay setting purposes after a tentative offer is made. If the applicant fails to provide the comprehensive resume by the specified deadline, the resume submitted at the time of application will be used to determine pay. No additional documentation will be accepted after the deadline. Note: Your resume must NOT contain pictures. For external candidates: Information on how your resume will be used for pay setting purposes can be found here.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 10% 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. If your selection results in a change in grade from an SK-15 to an SK-16 you will maintain your current salary. For helpful guidance for writing a two-page resume, click here.
Required: Accomplishment Record - For each competency, applicants must provide a 300 word or less written narrative describing one example of competency-related experience. Each example should document the position title and dates when the experience was obtained, detailed information about the problem or situation, the specific actions taken by the applicant, and the results or outcomes achieved by those actions. The applicant will also provide the name and contact information of an individual who can verify the provided information. This document must be uploaded to the application under Accomplishment Record. An accomplishment record submitted outside the USA Staffing system will not be accepted. Failure to provide the Accomplishment Record will result in a rating of IFFM: You were not considered because you did not submit all required documents and/or they were not in English as specified in the announcement.
Required, if you are a current or former Federal employee*: Your most recent Promotion, Within Grade Increase (i.e. WGI), or Appointment/Conversion SF-50 or non-award Notification of Personnel Action (if applying as a current or former Federal Employee) must show you are/were in the competitive service and the highest grade or promotion potential held. Note: If you are in the excepted service, your current agency must have an interchange agreement with OPM - for a list of agencies with current interchange agreements please click here.
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: VEOA documentation (DD-214, member 4 copy or other documentation containing dates of service and character of discharge.)
Required, if applicable: Special Hiring Authority eligibility documentation (VA letter, Schedule A eligibility letter, Peace Corp letter, etc)
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.
IMPORTANT INFORMATION FOR SURPLUS OR DISPLACED FEDERAL EMPLOYEES: If you have never worked for the federal government, you are not I/CTAP eligible. To receive selection priority for this position, you must: (1) meet CTAP or ICTAP eligibility criteria; the questionnaire asks you to identify your ICTAP/CTAP eligibility (2) be rated well-qualified; and, (3) submit the appropriate documentation to support your CTAP or ICTAP eligibility. View information about I/CTAP eligibility on OPM's Career Transition Resources website.
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 resume 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.
Office of Investor Advocate
100 F Street NE
Washington, DC 20549
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.
