USA Staffing

Position Title: LEAD RESEARCH SPECIALIST
Agency: Securities and Exchange Commission
Announcement Number: 24-IN-12604657-KLC Opens in new window
Open Period: Tuesday, November 12, 2024 to Tuesday, November 26, 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. Denver, CO

D. Washington, DC

E. Miami, FL

F. Atlanta, GA

G. Chicago, IL

H. Boston, MA

I. New York, NY

J. Philadelphia, PA

K. Fort Worth, TX

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 Lead Research Specialist, SK-0301-13 position within the Division of Examinations 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)?

A. Yes

B. No

2. Please select the response that best describes the experience that demonstrates your ability to perform as a Lead Research Specialist.

A. I possess at least one year of specialized experience equivalent to at least the GS/SK-12: applying federal and agency standards to perform and analyze registration filing reviews.

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

3. Please select the response that best describes the experience that demonstrates your ability to perform as a Lead Research Specialist.

A. I possess at least one year of specialized experience equivalent to at least the GS/SK-12: utilizing EDGAR, Web CRD, IARD and/or other related systems.

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

4. Select the statements that best describe your experience conducting research using multiple data sources to gain a complete understanding of relevant filing review issues. (select all that apply):

A. I have demonstrated experience in searching multiple systems, websites, and databases, including EDGAR, HUB, CRD, and IARD, as well as paper filings and staff guidance documents, to gain a thorough background understanding of registration filings and the companies which file them.

B. I have served as the lead or senior researcher/analyst on a project requiring coordination with others, oversight of results of the project and preparing a final product.

C. I have reported situations in which normal, approved research patterns may not have produced accurate or complete results and conducted additional research or steps in the absence of precedent.

D. I have had education and/or training related to the review of electronic and paper filings.

E. I have participated in operational or planning meetings to discuss program or project milestones or activities.

F. I have prepared, or made significant contributions to, written guidance on conducting job-related research to be used by other researchers, and/or was a presenter at a training session attended by other researchers.

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

5. Select the statements that describe your experience in applying the findings of your research to job requirements. (select all that apply):

A. I have experience in making sound, well-reasoned determinations based on my research and applied it to filings to determine whether the filings were compliant with regulatory and staff guidance.

B. I have successfully justified my decision to accept or suspend a filing to a supervisor when the accuracy of my decision was not readily apparent.

C. I have researched filings requiring interpretation and adaptation of guidance to particular situations; identified legal issues, analyzed disclosures; and made filing status determinations.

D. I have interpreted regulations and organizational policy regarding the validity of pending filings and provided advice and guidance to other staff requiring interpretation and adaptation of guidance to particular situations.

E. I have had education and/or training related to analyzing filings, researching, determining if reported information is appropriate and complete, and preparing the supporting documentation to justify my findings.

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

6. Select the statements that describe your ability to work smoothly with senior officials, supervisors, co-workers, industry representatives, and the public to achieve common branch, division, and agency goals. (select all that apply):

A. I interact with staff to resolve inconsistencies or issues regarding filing reviews.

B. I respond to telephone inquiries from the general public and internal staff about applications and/or procedures in my specialty area.

C. I participate in discussions to obtain or clarify information of a factual nature.

D. I exercise discretion, tact, and judgment when interacting with staff and external companies or other officials.

E. I use best practices and consulting techniques to ensure customer expectations are managed and met, whether during face-to-face meetings, by phone or e-mail.

F. I keep abreast of new and changing initiatives and procedural guidelines to better serve as a source of information for staff and management.

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

7. Select the statement that best describes your communication skills.

A. I have regularly served as a program representative in dealing with managers and employees within the areas serviced. This included acquiring, clarifying or exchanging facts and information needed to complete assignments.

B. I have regularly justified, persuaded, negotiated, or resolved matters involving significant or controversial application or policy issues. This included communicating effectively and harmoniously with a full range of internal and external individuals or groups.

C. I have regularly communicated with filers to relay application deficiencies and to answer questions within required guidelines and in a concise and professional manner. This included communicating about complex issues, and sought guidance from management and/or internal personnel in other areas of the program when necessary.

D. I have served as a program representative and participated in discussions in which the purpose was to plan, coordinate, or consult on work efforts within the program area. This included contributing ideas and information on different topics that were helpful and useful toward work processes of the group.

E. None of the above.

8. Select the statement that best demonstrates your ability to work independently and manage time effectively in an environment with multiple, changing priorities and competing deadlines.

A. I have executed work assignments, including identifying work components and setting deadlines, milestones, and responsibility areas.

B. I have completed work assignments planned by supervisors, meeting critical deadlines, and accomplishing work, under general supervision.

C. I have executed work assignments, identifying work objectives and determining work approaches, specific assignment steps, deadlines, milestones, and resources.

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

9. Please select from the below options that describe your experience responding to time-sensitive action items (select all that apply):

A. I have identified problems, established priorities, set deadlines, and monitored assignments to ensure timely completing of multiple work activities with competing resources.

B. I have identified problems, assessed the issues or challenges to meet deadlines and developed contingency plans in coordination with management.

C. I have initiated and completed assignments and work products to meet competing deadlines.

D. I have responded to internal calls or ad hoc requests for information in regards to an application or other.

E. I have collected and compiled information for call responses or ad hoc requests including follow up activities or tasks.

F. I have not had experience responding to questions and inquiries as shown above.

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