- Position Title
- SECURITIES COMPLIANCE EXAMINER
- Agency
- Securities and Exchange Commission
- Announcement Number
- 23-DE-11826536-CSS Opens in new window
- Open Period
- Monday, February 6, 2023 to Tuesday, February 21, 2023
For preview purposes only. To apply, please return to the USAJOBS announcement and click the Apply button.
Eligibilities
1.
Do you claim Veterans’ Preference?
2.
Are you a current or former federal employee displaced from the agency hiring for this position? If yes, confirm:
To verify your eligibility, you must submit supporting documentation such as a Reduction in Force (RIF) separation notice or a Proposed Removal/Separation notice to include your latest performance rating (if the notice does not have this information included, you must submit a copy of your most recent performance appraisal) and a copy of your latest Notification of Personnel Action, Standard Form 50.
- you are located in the same local commuting area of the vacancy; AND,
- you are applying to a position that is at or below the grade level of the position from which you were or will be separated; AND,
- you are applying to a position that does not have greater promotion potential than the position from which you were or will be separated; AND,
- your last performance rating of record is at least fully successful or the equivalent.
To verify your eligibility, you must submit supporting documentation such as a Reduction in Force (RIF) separation notice or a Proposed Removal/Separation notice to include your latest performance rating (if the notice does not have this information included, you must submit a copy of your most recent performance appraisal) and a copy of your latest Notification of Personnel Action, Standard Form 50.
3.
Have you served on a Schedule C appointment or as a political appointee anytime within the last 5 years?
4.
Are you a current or former federal employee displaced from a position in a Federal agency other than the agency hiring for this position? If yes, confirm:
To verify your eligibility, you must submit supporting documentation such as a Reduction in Force (RIF) separation notice to include your latest performance rating (if the notice does not have this information included, you must submit a copy of your most recent performance appraisal) and a copy of your latest Notification of Personnel Action, Standard Form 50.
- you are located in the same local commuting area of the vacancy; AND,
- you are applying to a position that is at or below the grade level of the position from which you were or will be separated; AND,
- you are applying to a position that does not have greater promotion potential than the position from which you were or will be separated; AND,
- your last performance rating of record is at least fully successful or the equivalent.
To verify your eligibility, you must submit supporting documentation such as a Reduction in Force (RIF) separation notice to include your latest performance rating (if the notice does not have this information included, you must submit a copy of your most recent performance appraisal) and a copy of your latest Notification of Personnel Action, Standard Form 50.
5.
Are you a current SEC employee serving on a career or career conditional appointment?
To determine your eligibility, please refer to your last SF-50. To be eligible, your tenure code must be 1 or 2 AND your status must reflect competitive service (Position Occupied field is 1).
To determine your eligibility, please refer to your last SF-50. To be eligible, your tenure code must be 1 or 2 AND your status must reflect competitive service (Position Occupied field is 1).
6.
Have you received a Voluntary Separation Incentive Payment (VSIP) in the last 5 years? If so, you will need to repay the entire amount of the VSIP to the agency from which you separated as a condition of reemployment.
Preferences
1.
From the options below, please indicate the choice that BEST describes your situation:
2.
How did you hear about this position?
3.
Please specify based on your selection above as applicable:
Assessment 1
Thank you for your interest in the Securities Compliance Examiner, SK-1831-14 position in the Division of Examinations - Boston Regional Office within the United States Securities and Exchange Commission. We will evaluate your resume and your responses to this Assessment Questionnaire to determine if you are among the best qualified for this position. Your responses are subject to verification. Please review your responses for accuracy before you submit this questionnaire.
Select “Yes” or “No” to the following question(s).
1.
Do you have at least one year of specialized experience equivalent to at least the GS/SK-13 level 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?
2.
Please select the statements that demonstrate that you have at least one year of specialized experience equivalent to the GS/SK-13 level performing at least three of the following functions (select all that apply):
The following questions assess your qualifications. Please select the best answer(s) that describe(s) your experience.
3.
Select the type(s) of audits, investigations, examinations and analyses you have experience conducting (Please select all that apply).
4.
Select the statement that demonstrates your experience providing technical support for audits, compliance reviews, or securities examination work (Please select all that apply).
5.
Select the types of securities-related financial institutions you have experience working with (Please select all that apply):
6.
From the list below please select the statement(s) that describes your experience in the following areas (Please select all that apply):
7.
From the list below please select the statement(s) that describes your experience providing program direction and management; project leadership; or formal lead/senior responsibilities in the following areas (Select all that apply):
8.
Please select the statement that demonstrates your experience using oral communication to present concise and convincing information and opinions that may be used as a basis for critical management decisions and/or in legal or administrative proceedings.
9.
From the list below please select the statement(s) that describe your experience in communicating orally. (Select all that apply):