- Position Title
- SUPERVISORY SECURITIES COMPLIANCE EXAMINER
- Agency
- Securities and Exchange Commission
- Announcement Number
- 24-IN-12604159-KLC Opens in new window
- Open Period
- Tuesday, November 12, 2024 to Tuesday, December 10, 2024
For preview purposes only. To apply, please return to the USAJOBS announcement and click the Apply button.
Eligibilities
1.
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.
2.
Have you served on a Schedule C appointment or as a political appointee anytime within the last 5 years?
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:
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.
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:
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.
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).
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 Supervisory Securities Compliance Examiner, SK-1831-15 position within the Division of Examinations - Atlanta Regional Office at 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 EXAMS 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)?
2.
From the descriptions below, select the response that best describes the experience that you possess that demonstrates your ability to perform as a Supervisory Securities Compliance Examiner, SK-15.
3.
From the descriptions below, select the response that best describes the experience that you possess that demonstrates your ability to perform as a Supervisory Securities Compliance Examiner, SK-15. (Select all that apply.)
The following questions assess your qualifications. Please select the best answer(s) that describe(s) your experience.
4.
From the list below select the statement(s) that describe your experience supervising or leading others (please select all that apply):
5.
Please select the statement that best demonstrates your experience directing and managing staff engaged in investigating, examining or auditing clearing agencies, exchanges, investment advisers, investment companies, transfer agents, broker-dealers, or other registrants to ensure compliance with federal securities laws.
6.
Please select the types of examinations and analyses you have experience conducting (please select all that apply):
7.
Please select the statement that best demonstrates your experience performing securities examination work to protect the investing public from fraud and misappropriation of funds.
8.
Please select the statement that best demonstrates your experience communicating technical matters to officials, managers, and/or organization leadership.
9.
Please select the statement that best describes your experience presenting financial and/or examination information.
10.
Please select the statement that best demonstrates your experience conveying information in written form.