This job announcement has closed

The Division of Examinations is filling two positions for a Securities Compliance Examiner, SK-1831-12 or 13, one located in Boston, MA and one locatedin MIami, FL.

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Hiring complete

Open & closing dates

03/24/2023 to 04/14/2023
Salary

$96,636 - $205,532 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.
Pay scale & grade

SK 12 - 13
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Locations
- Miami, FL 1 vacancy
- Boston 1 vacancy
Remote job

No
Telework eligible

Yes—as determined by the agency policy.
Travel Required

Occasional travel - Travel averages 5 days a month.
Relocation expenses reimbursed

No
Appointment type

Permanent
Work schedule

Full-time
Service

Competitive
Promotion potential

14
Job family (Series)
- 1831 Securities Compliance Examining
Supervisory status

No
Security clearance

Other
Drug test

No
Position sensitivity and risk

High Risk (HR)
Trust determination process
- Suitability/Fitness
Announcement number

23-DE-11843089-CSS
Control number

715099500

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Clarification from the agency

All US Citizens

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These positions are in the Division of Examinations in the Boston Regional Office located in Boston, MA and the Miami Regional Office located in Miami, FL.

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, investment advisers, broker-dealers, transfer agents, private equity and hedge funds, and/or other registered entities.

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, municipal advisors; private equity and hedge funds, and/or other registered entities;
Evaluating possible risks and fraud by conducting research, reviews and analysis of a variety of internal and external documents and data sources related to compliance; conducting reviews of customer trading and securities holdings; reviewing firm marketing and business models; and developing recommendations and/or identifying deficiencies in assigned areas of specialization;
Developing reports, correspondence, memoranda and other documents summarizing reviews, research and analysis related to registered entities' compliance with the federal securities laws; presenting and defending findings, and collaborating as required with legal staff;
Initiating and conducting consultations with staff of the Division of Examinations and other SEC divisions and offices on issues, which present difficult questions of fact and law or policy that require review and consultation before being presented for final action; and
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 principals of registrants, and/or (vi) analyzing performance calculations to assess the level of compliance with federal securities laws and/or self-regulatory 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-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.
This position is eligible to request telework in accordance with the SEC 's telework policy.
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-12: Applicant must have at least one year of specialized experience equivalent to the GS/SK-11 level: Specialized experience includes performing at least two of the following functions:

Participating in examinations, investigations, audits or internal compliance reviews of securities-related financial institutions such as investment advisers, investment companies, broker-dealers, clearing agencies, or transfer agents; private equity and hedge funds; and/or other registered entities;
Assisting in the adoption, implementation, review or testing of internal controls or internal risk management programs (such as operational or enterprise risk management);
Analyzing large data sets to identify risks within the financial industry;
Assisting with the review of procedures, practices, or records related to the issuance, distribution, and/or trading of securities; or
Interpreting and applying the provisions of the Investment Advisers Act and/or the Investment Company Act, Securities Act of 1933, Securities Exchange Act of 1934, and any related rules and regulations and/or other federal securities rules.

SK-13: Applicant must have at least one year of specialized experience equivalent to the GS/SK-12 level. Specialized experience includes:
Interpreting and applying the provisions of the Investment Advisers Act and/or the Investment Company Act, Securities Act of 1933, Securities Exchange Act of 1934 and any related rules and regulations and/or other federal securities rules; AND

Performing at least two of the following functions:

Performing examinations, investigations, audits or internal compliance reviews of securities-related financial institutions such as investment advisers, investment companies, broker-dealers, clearing agencies, transfer agents; private equity and hedge funds; and/or other registered entities;
Developing and implementing assessments of internal controls or internal risk management programs (such as enterprise or operational risk management);
Analyzing financial or securities industry data using a relational database management system (e.g. SQL, Oracle) or through advanced skills with spreadsheets such as Microsoft Excel;
Performing reviews of procedures, practices, or records related to the issuance distribution, and/or trading of securities; or
Engaging in securities trading/management, portfolio/investment management, or performing investment analysis.

Education

This job does not have an education qualification requirement.

Additional information

Salary Information below:

Boston, MA:
- SK-12: $97,279 - $164,842
- SK-13: $115,684 - $195,991
Miami, FL:
- SK-12: $102,015 - $172,844
- SK-13: $121,316 - $205,532

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.

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.

TTY/ASCII: Video Relay Service users are welcome to contact the appropriate SEC office or employee via the contact information listed above. If you do not otherwise have access to a Video Phone or Video Relay service, you may send us an email or use the Federal Video Relay Service via the internet. For more information about using the Federal Relay Service and to create a new account, please see: https://www.federalrelay.us/

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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.

Review our 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 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, Securities Laws and Compliance Guidance, and Technical Communications

The Occupational Questionnaire will take you approximately 20 minutes to complete. To preview the Occupational Questionnaire, click the following link https://apply.usastaffing.gov/ViewQuestionnaire/11843089.

Help
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.

Review our 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.
As a new or existing federal employee, you and your family may have access to a range of benefits. Your benefits depend on the type of position you have - whether you're a permanent, part-time, temporary or an intermittent employee. You may be eligible for the following benefits, however, check with your agency to make sure you're eligible under their policies.

You must provide a complete Application Package, which includes:
- Required: Your responses to the Occupational Questionnaire.
- Required: Your complete and comprehensive resume that includes a complete history of your work experience and the applicable employment dates with months and years. To determine if you qualify for this position, OHR will review your work history that is relevant to the specific position for which you applied. If you are an external candidate selected for this position, OHR will review your complete work history to establish your starting salary. 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. Note: Your resume must directly address the definition of specialized experience listed in the qualification section of this announcement and must NOT contain pictures. For external candidates: Information on how your resume will be used for pay setting purposes can be found 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: Veteran's Preference Documentation (DD-214, Member Copy 4 or other documentation containing dates of service and character of discharge. Disabled veterans and other applicants eligible for 10-point Veteran's Preference please include: documentation to validate your claim - VA letter, SF-15, etc).
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 résumé 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.
Agency contact information

ask HR

Email

askHR@sec.gov

Address

Boston Regional Office
33 Arch Street
24th Floor
Boston, MA 02110
US

Learn more about this agency

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.

Help

You must provide a complete Application Package, which includes:

Required: Your responses to the Occupational Questionnaire.
Required: Your complete and comprehensive resume that includes a complete history of your work experience and the applicable employment dates with months and years. To determine if you qualify for this position, OHR will review your work history that is relevant to the specific position for which you applied. If you are an external candidate selected for this position, OHR will review your complete work history to establish your starting salary. 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. Note: Your resume must directly address the definition of specialized experience listed in the qualification section of this announcement and must NOT contain pictures. For external candidates: Information on how your resume will be used for pay setting purposes can be found 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: Veteran's Preference Documentation (DD-214, Member Copy 4 or other documentation containing dates of service and character of discharge. Disabled veterans and other applicants eligible for 10-point Veteran's Preference please include: documentation to validate your claim - VA letter, SF-15, etc).

Help

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 résumé 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.

Agency contact information

ask HR

Email: askHR@sec.gov
Address: Boston Regional Office
33 Arch Street
24th Floor
Boston, MA 02110
US

Learn more about this agency

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.

This job announcement has closed

Help

Hiring complete

Open & closing dates

03/24/2023 to 04/14/2023
Salary

$96,636 - $205,532 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.
Pay scale & grade

SK 12 - 13
Locations
- Miami, FL 1 vacancy
- Boston 1 vacancy
Remote job

No
Telework eligible

Yes—as determined by the agency policy.
Travel Required

Occasional travel - Travel averages 5 days a month.
Relocation expenses reimbursed

No
Appointment type

Permanent
Work schedule

Full-time
Service

Competitive
Promotion potential

14
Job family (Series)
- 1831 Securities Compliance Examining
Supervisory status

No
Security clearance

Other
Drug test

No
Position sensitivity and risk

High Risk (HR)
Trust determination process
- Suitability/Fitness
Announcement number

23-DE-11843089-CSS
Control number

715099500

This job originated on www.usajobs.gov. For the full announcement and to apply, visit www.usajobs.gov/job/715099500. Only resumes submitted according to the instructions on the job announcement listed at www.usajobs.gov will be considered.

SECURITIES COMPLIANCE EXAMINER

Summary

Overview

Open & closing dates

Salary

Pay scale & grade

Locations

Remote job

Telework eligible

Travel Required

Relocation expenses reimbursed

Appointment type

Work schedule

Service

Promotion potential

Job family (Series)

Supervisory status

Security clearance

Drug test

Position sensitivity and risk

Trust determination process

Announcement number

Control number

This job is open to

Clarification from the agency

Videos

Duties

Requirements

Conditions of Employment

Qualifications

Education

Additional information

How You Will Be Evaluated

Agency contact information

Next steps

Required Documents

How to Apply

Agency contact information

Next steps

Fair & Transparent