USA Staffing

Position Title: SECURITIES COMPLIANCE EXAMINER
Agency: Securities and Exchange Commission
Announcement Number: 24-IN-12581247-VM Opens in new window
Open Period: Monday, October 21, 2024 to Monday, November 4, 2024

For preview purposes only. To apply, please return to the USAJOBS announcement and click the Apply button.

1. Are you a current or former federal employee displaced from the agency hiring for this position? If yes, confirm:

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.

For more information, review the USAJOBS Help Center.

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.

A. Yes

B. No

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

A. Yes

B. No

3. 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:

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.

For more information, review the USAJOBS Help Center.

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.

A. Yes

B. No

4. Are you currently employed as a Federal civilian employee in the Competitive Service at the same grade level as this position or higher with the same or higher promotion potential?

To verify your eligibility, you must submit a copy of your Promotion, Within Grade Increase (i.e. WGI), or Appointment/Conversion SF-50 or non-award Notification of Personnel Action that shows you are/were in the competitive service and the highest grade or promotion potential held.

Your SF-50 (or equivalent personnel action form) must reflect:

career or career-conditional (Tenure field is 1 or 2); AND,
your status in the competitive service (Position Occupied field is 1).
Highest grade or promotion potential held.

A. Yes

B. No

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).

A. Yes

B. No

1. Select the location(s) you want to be considered for. You must choose at least one location.

A. Los Angeles, CA

B. San Francisco, CA

C. Washington, DC

D. Miami, FL

E. Chicago, IL

F. Boston, MA

G. New York, NY

H. Philadelphia, PA

2. 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.

3. How did you hear about this position?

4. Please specify based on your selection above as applicable:

Thank you for your interest in the Securities Compliance Examiner, SK-1831-16 position 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. Are you a current SEC employee serving under a career or career-conditional appointment in the competitive service (Please refer to your 'SF50, block 34' - if your 'SF50 shows 1' then you are in the competitive service)?

A. Yes

B. No

2. Please select the response that best describes your ability to perform as a Securities Compliance Examiner, SK-16.

A. I have at least one year of specialized experience equivalent to the GS/SK-14 level performing two or more of the following functions: (1) Analyzing and interpreting AI-based technical subject matter such as relevant industry trends and tools for AI-based fraud schemes, governance, data privacy and security, and system audits and monitoring; (2) Planning, developing, and leading data science functions by contributing coding solutions while advising attorneys in analyzing structured datasets; OR (3) Serving as an advisor for AI-related projects (understanding of technology, industry trends, and lead generation) in multiple roles with internal and external criminal and civil regulatory partners.

B. I do not have the experience as described above and therefore am ineligible for the position.

3. Please select the statement that best describes your experience using data science capabilities to analyze large data sets of financial and/or auditing information and draw conclusions.

A. I have extensive experience using data science capabilities to analyze large and/or complex data sets, to include high frequency trading, and so-called market making, with large data sets.

B. I have some experience using data science capabilities to analyze large and/or complex data sets.

C. I have analyzed large and/or complex data sets as part of my job.

D. I do not have experience in performing this task.

4. Select the one choice that best demonstrates your experience maintaining current, up-to- date knowledge of AI technology, concepts, industry trends and tools to advise on their application to business needs.

A. I have extensive knowledge of current and emerging AI technology, concepts, industry trends and tools, and have applied that knowledge to develop strategies, formulate alternatives, and implement solutions to meet business requirements of an organization.

B. I have work experience using AI technology to implement solutions to meet the business requirements of an organization.

C. I have knowledge of current AI technology and how it can be used to implement solutions to meet the business requirements of an organization.

D. None of the above.

5. From the list below, select the statement that best describes your highest level of experience developing and conducting oral, digital, and/or written presentations and briefings of complex datasets and the AI-related technical matter for executives, managers, and senior staff.

A. I routinely conduct such presentations to senior leadership as a regular part of a job, independently and usually without review by a supervisor, manager, or technical staff, which are persuasive and effectively convey the needed information.

B. I have made such presentations to senior leadership, usually without review by a supervisor, manager, or technical staff, which are persuasive and effectively convey the needed information.

C. I have assisted with preparation of oral presentations to senior leadership by serving as a subject matter expert.

D. None of the above.

6. Please select the statement that best describes your experience serving as an AI technical expert and representing an agency in meetings, conferences, and a wide range of public forums.

A. I have represented my organization at significant external meetings and conferences where I presented the organization's viewpoints on AI-related issues to align with the organization's/agency's mission. Contacts were generally with other federal agencies and external organizations within the securities industry, and/or with securities industry professionals.

B. I have made presentations to senior level professionals, managers, or at conferences, and other public settings to brief audiences on AI-related data collected, exam priorities and risk areas.

C. I have presented tangential AI analytical research findings and presented recommendations within the agency to supervisors and staff members.

D. I have not had experience related to making presentations.

7. Please select the statement that best demonstrates your experience in oral communications to develop and 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.

A. I have regularly led the justification, persuasion, negotiation, and resolutions of matters involving significant or controversial policy or program issues. This included communicating effectively and harmoniously with a full range of internal and external individuals or groups (e.g., representatives from Agency, Department, other Federal agencies, industry leaders, and financial regulators).

B. I have regularly served as a program representative and participated in discussions in which the purpose was to plan, coordinate, or consult on work efforts or to resolve specific business problems. This included influencing or motivating individuals or groups who are working toward mutual goals and who have cooperative attitudes.

C. I have regularly participated in workgroups as a program representative, in which the purpose was to influence, motivate, or persuade persons or groups. This included using communication skills to approach individuals or groups who are skeptical or in disagreement to obtain the desired effect, (e.g., gaining compliance with an established policy or regulation).

D. I have participated in verbal discussions, such as conferences or meetings, to justify or negotiate matters involving significant or controversial issues.

E. I have not had education, training, or experience in performing this task.

8. Select the one choice that best demonstrates your experience using AI-featured case methodology and identifying innovative techniques to accomplish objectives.

A. I have extensive experience using AI-featured case methodology and developing and implementing innovative analytical techniques to accomplish objectives.

B. I have some experience using AI-featured case methodology and implementing analytical techniques to accomplish objectives.

C. I have knowledge of how AI can be used in case methodology.

D. None of the above.

9. Select the one choice that best describes your experience with crypto-asset tracing and/or blockchain explorer applications.

A. I have extensive experience with a variety of crypto-asset tracing tools and blockchain explorers, as well as experience using programming language to ingest and analyze structured blockchain datasets in new ways, visualizing my findings using open-source libraries.

B. I have used digital and crypto-asset tracing tools and/or blockchain explorers.

C. I have knowledge of the technology associated with digital and crypto-asset tracing and blockchain explorers but have not used them.

D. None of the above.

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