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Position Title
SUPERVISORY SECURITIES COMPLIANCE EXAMINER
Agency
Securities and Exchange Commission
Announcement Number
25-IN-12755781-CSS Opens in new window
Open Period
Monday, July 7, 2025 to Monday, July 21, 2025
For preview purposes only. To apply, please return to the USAJOBS announcement and click the Apply button.
Eligibilities
1. 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. 
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2. Are you a current SEC employee serving on a permanent or 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). 
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3. 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.
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4. Have you served on a Schedule C appointment or as a political appointee anytime within the last 5 years? (limit characters)
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). (limit characters)
2. From the options below, please indicate the choice that BEST describes your situation: (limit characters)
3. How did you hear about this position? (limit characters)
4. Please specify based on your selection above as applicable: (limit characters)
5. Please select the office(s) you are applying for: (limit characters)
Assessment 1
Thank you for your interest in the position Supervisory Securities Compliance Examiner, SK-1831-17 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. (limit characters)
Select “Yes” or “No” to the following question(s). (limit characters)
1. Are you a current, permanent or conditional, competitive service EXAMS employee (Please refer to your 'SF50, block 34' - if your 'SF50 shows 1' then you are in the competitive service)? (limit characters)
2. Do you have at least one year of specialized experience equivalent to the GS/SK-14 level conducting compliance inspections, examinations, investigations, and/or audits of broker-dealers, clearing agencies, transfer agents, municipal advisers, investment advisers, investment companies, security-based swap dealers, or self-regulatory organizations? (limit characters)
3. Do you have at least one year of specialized experience equivalent to the GS/SK-14 level leading teams of staff with varying backgrounds (e.g., legal, accounting, examining)? (limit characters)
4. Do you have at least one year of specialized experience equivalent to the GS/SK-14 level identifying emerging risks and issues affecting financial institutions? (limit characters)
The following questions assess your qualifications. Please select the best answer(s) that describe(s) your experience. (limit characters)
5. Please select the statement that best demonstrates your experience performing examinations or investigations of investment companies, investment advisers, registered broker- dealers, transfer agents, security-based swap dealers, etc., in accordance with federal securities laws, rules, and regulations. (limit characters)
6. Please select the statement that best demonstrates your experience performing examinations or investigations to protect the investing public from fraud and misappropriation of funds. (limit characters)
7. Please select the types of examinations and analyses you have experience conducting (Please Select all that apply): (limit characters)
8. Please select the statement that best describes your experience gathering, compiling, and analyzing financial and/or auditing information. (limit characters)
9. Please select the statement that best demonstrates your experience directing and managing staff engaged in investigating, examining or auditing security-based swap dealers, investment advisers, investment companies, transfer agents, and broker-dealer operations, sales practices and financial conditions to ensure compliance with Commission or securities industry self-regulatory organization rules and regulations. (limit characters)
10. From the list below, select the statement(s) that describe your experience supervising and/or leading others. (Please select all that apply). (limit characters)
11. 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. (limit characters)
12. Please select the statement that best describes your experience serving as a technical expert and representing an agency in meetings, conferences and a wide range of public forums. (limit characters)