- Position Title
- SECURITIES COMPLIANCE EXAMINER
- Agency
- Securities and Exchange Commission
- Announcement Number
- 23-DE-11920114-CSS Opens in new window
- Open Period
- Friday, April 28, 2023 to Monday, May 15, 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 previous federal employee with Securities and Exchange Commission?
6.
Are you a current SEC employee?
7.
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.
Select the location(s) you want to be considered for. You must choose at least one location. You may only select up to 3 location(s).
2.
Of the locations you have selected in the previous question, please indicate your top preference for location.
3.
Select the lowest grade you are willing to accept for this position.
4.
From the options below, please indicate the choice that BEST describes your situation:
5.
How did you hear about this position?
6.
Please specify based on your selection above as applicable:
Assessment 1
Thank you for your interest in the Securities Compliance Examiner, SK-1831-09/11 position in the Investment Adviser/Investment Company Examination Program within the Division of Examinations with 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.
Securities Compliance Examiner, SK-1831-09: The following questions assess your qualifications. Please select the best answer(s) that describe(s) your education and/or experience.
1.
From the descriptions below, select the response that best describes the experience that you possess that demonstrates your ability to perform as a Securities Compliance Examiner, SK-1831-09.
2.
Select the statement that best demonstrates your knowledge of accounting, finance, auditing, or compliance concepts and experience applying this knowledge to broad and difficult assignments.
3.
Select the statement that best describes your experience providing technical advice and assistance in the areas of compliance.
4.
Select the statement that demonstrates your knowledge of Federal securities laws, rules, and regulations.
5.
Have you validated financial data and assessed compliance with Federal statutes and regulations to identify discrepancies and reconcile accounts?
6.
Select the statement that best describes your experience conveying technical information other than in writing.
7.
Select the one choice that best describes your experience preparing written material on planning or policy issues such as reports, briefing papers, correspondence and presentations (and/or other materials) to various individuals and audiences.
Securities Compliance Examiner, SK-1831-11: The following questions assess your qualifications. Please select the best answer(s) that describe(s) your education and/or experience.
8.
From the descriptions below, select the response that best describes the experience that you possess that demonstrates your ability to perform as a Securities Compliance Examiner, SK-1831-11.
9.
Select the statement that best describes your experience performing examinations or audits of regulated entities and/or financial markets or financial services industry.
10.
Select the types of examinations, audits, reviews and analyses you have experience conducting. (Please select all answers that apply)
11.
Select the statement that best describes your experience gathering, compiling, and analyzing financial and/or auditing information.
12.
Select the statements that demonstrates your experience providing technical support for audits, compliance reviews, or securities examination work. (Please select all answers that apply.)
13.
Select the statements that best describe your experience as it relates to your preparation of written communications. (Please select all answers that apply)
14.
Select the statement that demonstrates your experience communicating verbally in formal and informal settings, such as with external stakeholders, colleagues and senior management. (Please select all answers that apply)