USA Staffing

Eligibilities

1. Have you served on a Schedule C appointment or as a political appointee anytime within the last 5 years?

A. Yes

B. No

2. Are you a current SEC employee?

A. Yes

B. No

3. 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).

A. Yes

B. No

Preferences

1. From the options below, please indicate the choice that BEST describes your situation:

A. I am an external candidate and I certify that I have read and understand that should I be selected for the position, the resume and application materials I have submitted will be used to determine salary. I also understand that I will not be permitted to provide an updated resume to OHR after the application period has closed.

B. I am a current SEC employee and I certify that I have read and understand that should I be selected for this position and it results in a promotion, the standard percentage increase will be applied (i.e., 6% for non-supervisory and 10% for supervisory positions) to determine my salary. I understand that should I be selected for this position and it results in lateral movement (i.e. no change in grade) I will maintain my current salary. I also understand that if I should be selected for this position and it results in a change in grade from an SK-15 to an SK-16, I will maintain my current salary.

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 Senior Officer-Associate Director position in the Office of Investment Advisers and Investment Company Examinations (IA/IC) within the Division of Examinations with 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.

1. Select the statement that best describes your experience.

A. I possess at least one full year of specialized experience equivalent to at least the GS/SK-14 level: 1. Conducting examinations of broker-dealers, transfer agents, investment companies, investment advisers and self-regulatory organizations; 2. Assessing the compliance, activities and risks of registered securities firms; 3. Providing assistance and information to securities firms and to investors; 4. Managing a team or group that conducts examinations or audits of financial or securities firms; and 5. Providing information and/or assistance to enforcement staff with respect to possible violations of federal securities laws and regulations.

B. I do not possess the experience as described above.

2. Do you possess the following Executive Core Qualifications?

Managing Experience: Experience designing and implementing strategies which maximize employee potential and foster high ethical standards in meeting the organization's vision, mission, and goals.
Leading Change/Achieving Results: Experience developing and implementing an organizational vision which integrates key national and program goals, priorities, values, and other factors of that organization. Examples should include experience implementing change in their organization, exercising leadership and motivating managers to incorporate vision and strategic planning into the process.
Building Coalitions/Communications: Experience explaining, advocating, and expressing facts and ideas (both orally and in writing) in a convincing manner. Work environment may be experience working with the press, political appointees, Congress, and other high-level organization and staff on various types of important national issues. Experience includes working in groups and teams conducting briefings with outside groups and gaining cooperation from others to obtain information and accomplish goals.

A. Yes

B. No

3. Do you possess the following Technical Qualifications?

Knowledge and understanding of the Securities Act of 1933, the Securities Exchange Act of 1934, the Investment Company Act of 1940, and the Investment Advisers Act of 1940.
Knowledge of and exposure to the operations and/or the examination of broker-dealers, transfer agents, investment advisers and investment companies.
Ability to analyze complex problems and devise innovative solutions.

A. Yes

B. No

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. All applicants may provide narrative responses (500 words or less per question) addressing the executive (core) and technical qualifications. After the announcement closing date, you will receive an email asking you to respond to the core and technical qualifications. You must provide your responses within the established deadline.

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