U.S. Securities and Exchange Commission
Washington, DC
Help
Duties
At the Securities and Exchange Commission (SEC), we are committed to diversity, equity, inclusion and accessibility (DEIA) and value a workforce that reflects the diverse experiences and perspectives of the communities we serve. As such, we welcome applications from qualified individuals of all backgrounds who share our commitment to public service.
The Office of Chief Counsel provides advice on law, policy, operations, and ethics to the Director, other senior officials, and examiners across the Division; coordinates with other regulators; reviews proposed legislation and rulemaking; serves as the Division's Enforcement liaison, and serves as a liaison for GAO and OIG investigations and audits of the Division.
As an Attorney-Adviser, you will:
Advise and counsel senior management within the Commission on all matters related to the Office of Chief Counsel arising within the Division of Examinations; Provide written and oral legal and policy advice and guidance to examiners across the Division related to the Investment Advisers Act, the Investment Company Act, other securities laws, and relevant administrative law; Review and comment on rulemaking impacting the Division, provide comments to the Division of Investment Management , brief senior staff on such rulemaking, and prepare legal guidance and training for the examination program on new rules; Draft, and review public risk alerts intended to highlight deficiencies and other risks that Division staff has identified for regulated entities; and Represent the agency in high level meetings, conferences, and presentations involving a wide range of participants such as regulatory or law enforcement agencies; state, local, national, or international government offices; private industry; and the academic community. Help
Requirements Conditions of Employment CITIZENSHIP: You must be a US Citizen. You must possess a J.D. or LL.B Degree and You must be an active member of the bar in good standing. This position is open to current permanent SEC Employees. Application procedures are specific to this vacancy announcement. Please read all the instructions carefully. Failure to follow the instructions may result in you not being considered for this position. Supplementary vacancies may be filled in addition to the number stated in this announcement. This position has promotion potential to the SK-16 TRIAL PERIOD: This appointment may require completion of a two-year trial period. SECURITY CLEARANCE: Entrance on duty is contingent upon completion of a pre-employment security investigation. Favorable results on a Background Investigation may be a condition of employment or selection to another position. DRUG TESTING: This position may be subjected to drug testing requirements. PERMANENT CHANGE OF STATION (PCS): Moving/Relocation expenses are not authorized. DIRECT DEPOSIT: All Federal employees are required to have Federal salary payments made by direct deposit to a financial institution of their choosing. This position is in the collective bargaining unit. This position is eligible to request telework in accordance with the SEC 's telework policy. Qualifications All qualification requirements must be met by the closing date of this announcement.
Qualifying experience may be obtained in the private or public sector. Experience refers to paid and unpaid experience, including volunteer work done through National Service programs (e.g., Peace Corps, AmeriCorps) and other organizations (e.g., professional; philanthropic; religious; spiritual; community, student, social). Volunteer work helps build critical competencies, knowledge, and skills and can provide valuable training and experience that translates directly to paid employment. You will receive credit for all qualifying experience, including volunteer experience. Qualifying education must have been obtained from an accredited college or university recognized by the U.S. Department of Education. BASIC REQUIREMENT: All applicants must possess the following J.D. or LL.B. degree --AND-- Active membership of the bar in good standing in any state, territory of the United States, the District of Columbia, or the commonwealth of Puerto Rico. (Note: proof of bar membership will be required before entry on duty. MINIMUM QUALIFICATION REQUIREMENT: In addition to meeting the basic requirement, applicants must also meet the minimum qualification requirement. SK-16: Applicant must have one year of specialized experience equivalent to the SK-14 level. Specialized experience includes: Researching, preparing, and delivering guidance on a variety of legal issues arising from interpretation and application of federal securities laws, rules and regulations; AND Representing an organization at briefings, meetings, or conferences; AND Drafting and editing memoranda, filings or other substantive written work product for various audiences on a variety of legal issues. Education FOREIGN EDUCATION: If you are using education completed in foreign colleges or universities to meet the qualification requirements, you must show the education credentials have been evaluated by a private organization that specializes in interpretation of foreign education programs and such education has been deemed equivalent to that gained in an accredited U.S. education program; or full credit has been given for the courses at a U.S. accredited college or university. For further information, visit: http://www.ed.gov/about/offices/list/ous/international/usnei/us/edlite-visitus-forrecog.html Additional information IMPORTANT INFORMATION FOR SURPLUS OR DISPLACED FEDERAL EMPLOYEES: Career Transition Assistance Plan (CTAP) is available to individuals who have special priority selection rights under this plan. Individuals must be minimally qualified for this position to receive consideration for special priority selection. CTAP eligibles will be considered minimally qualified if they meet the minimum requirements for this position. Reasonable Accommodation: If you are an applicant who needs a reasonable accommodation for disability to participate in the application process at the SEC, submit the form for Reasonable Accommodation for Participation in Job Application Process here . Please be sure to submit your request at least 5 business days in advance of the date you need the requested accommodation. Equal Employment Opportunity (EEO) Information for SEC Job Applicants : Federal EEO laws protect all applicants from discrimination on the following bases: race, color, sex (not limited to conduct which is sexual in nature, includes pregnancy, gender identity, sexual orientation, transgender status), age (40 and over), religion, national origin, disability, genetic information, retaliation for participating in the EEO process or opposing discrimination. Applicants who believe they have been discriminated against on any EEO basis can seek recourse through the SEC's administrative complaints process. To be timely, an individual must enter the EEO process within 45 days from when they know (or should have known) of the alleged discrimination. Click here for additional information. Read more Benefits Help
A career with the U.S. government provides employees with a comprehensive benefits package. As a federal employee, you and your family will have access to a range of benefits that are designed to make your federal career very rewarding. Opens in a new window Learn more about federal benefits .
Review our benefits Eligibility for benefits depends on the type of position you hold and whether your position is full-time, part-time or intermittent. Contact the hiring agency for more information on the specific benefits offered. Help
Required Documents
You must provide a complete Application Package, which includes:
Required : Your responses to the Occupational Questionnaire. Required: Your complete and comprehensive resume that includes a complete history of your work experience and the applicable employment dates with months and years. It is recommended that your resume include thetitle, series, and grade (e.g. SK-0301-12) for all relevant Federal experience . To determine if you qualify for this position, OHR will review your work history that is relevant to the specific position for which you applied. If you are a current SEC employee selected for this position, the standard percentage increases will be applied (i.e., 6% for non-supervisory and 10% for supervisory positions) if your selection results in a promotion. If your selection results in lateral movement (i.e. no change in grade) you will maintain your current salary. If your selection results in a change in grade from an SK-15 to an SK-16 you will maintain your current salary.Note: Your resume must directly address the definition of specialized experience listed in the qualification section of this announcement and must NOT contain pictures.
If you are relying on your education to meet qualification requirements:
Education must be accredited by an accrediting institution recognized by the U.S. Department of Education in order for it to be credited towards qualifications. Therefore, provide only the attendance and/or degrees from
schools accredited by accrediting institutions recognized by the U.S. Department of Education .
Failure to provide all of the required information as stated in this vacancy announcement may result in an ineligible rating or may affect the overall rating.
Full-time
Help
Duties
At the Securities and Exchange Commission (SEC), we are committed to diversity, equity, inclusion and accessibility (DEIA) and value a workforce that reflects the diverse experiences and perspectives of the communities we serve. As such, we welcome applications from qualified individuals of all backgrounds who share our commitment to public service.
The Office of Chief Counsel provides advice on law, policy, operations, and ethics to the Director, other senior officials, and examiners across the Division; coordinates with other regulators; reviews proposed legislation and rulemaking; serves as the Division's Enforcement liaison, and serves as a liaison for GAO and OIG investigations and audits of the Division.
As an Attorney-Adviser, you will:
Advise and counsel senior management within the Commission on all matters related to the Office of Chief Counsel arising within the Division of Examinations; Provide written and oral legal and policy advice and guidance to examiners across the Division related to the Investment Advisers Act, the Investment Company Act, other securities laws, and relevant administrative law; Review and comment on rulemaking impacting the Division, provide comments to the Division of Investment Management , brief senior staff on such rulemaking, and prepare legal guidance and training for the examination program on new rules; Draft, and review public risk alerts intended to highlight deficiencies and other risks that Division staff has identified for regulated entities; and Represent the agency in high level meetings, conferences, and presentations involving a wide range of participants such as regulatory or law enforcement agencies; state, local, national, or international government offices; private industry; and the academic community. Help
Requirements Conditions of Employment CITIZENSHIP: You must be a US Citizen. You must possess a J.D. or LL.B Degree and You must be an active member of the bar in good standing. This position is open to current permanent SEC Employees. Application procedures are specific to this vacancy announcement. Please read all the instructions carefully. Failure to follow the instructions may result in you not being considered for this position. Supplementary vacancies may be filled in addition to the number stated in this announcement. This position has promotion potential to the SK-16 TRIAL PERIOD: This appointment may require completion of a two-year trial period. SECURITY CLEARANCE: Entrance on duty is contingent upon completion of a pre-employment security investigation. Favorable results on a Background Investigation may be a condition of employment or selection to another position. DRUG TESTING: This position may be subjected to drug testing requirements. PERMANENT CHANGE OF STATION (PCS): Moving/Relocation expenses are not authorized. DIRECT DEPOSIT: All Federal employees are required to have Federal salary payments made by direct deposit to a financial institution of their choosing. This position is in the collective bargaining unit. This position is eligible to request telework in accordance with the SEC 's telework policy. Qualifications All qualification requirements must be met by the closing date of this announcement.
Qualifying experience may be obtained in the private or public sector. Experience refers to paid and unpaid experience, including volunteer work done through National Service programs (e.g., Peace Corps, AmeriCorps) and other organizations (e.g., professional; philanthropic; religious; spiritual; community, student, social). Volunteer work helps build critical competencies, knowledge, and skills and can provide valuable training and experience that translates directly to paid employment. You will receive credit for all qualifying experience, including volunteer experience. Qualifying education must have been obtained from an accredited college or university recognized by the U.S. Department of Education. BASIC REQUIREMENT: All applicants must possess the following J.D. or LL.B. degree --AND-- Active membership of the bar in good standing in any state, territory of the United States, the District of Columbia, or the commonwealth of Puerto Rico. (Note: proof of bar membership will be required before entry on duty. MINIMUM QUALIFICATION REQUIREMENT: In addition to meeting the basic requirement, applicants must also meet the minimum qualification requirement. SK-16: Applicant must have one year of specialized experience equivalent to the SK-14 level. Specialized experience includes: Researching, preparing, and delivering guidance on a variety of legal issues arising from interpretation and application of federal securities laws, rules and regulations; AND Representing an organization at briefings, meetings, or conferences; AND Drafting and editing memoranda, filings or other substantive written work product for various audiences on a variety of legal issues. Education FOREIGN EDUCATION: If you are using education completed in foreign colleges or universities to meet the qualification requirements, you must show the education credentials have been evaluated by a private organization that specializes in interpretation of foreign education programs and such education has been deemed equivalent to that gained in an accredited U.S. education program; or full credit has been given for the courses at a U.S. accredited college or university. For further information, visit: http://www.ed.gov/about/offices/list/ous/international/usnei/us/edlite-visitus-forrecog.html Additional information IMPORTANT INFORMATION FOR SURPLUS OR DISPLACED FEDERAL EMPLOYEES: Career Transition Assistance Plan (CTAP) is available to individuals who have special priority selection rights under this plan. Individuals must be minimally qualified for this position to receive consideration for special priority selection. CTAP eligibles will be considered minimally qualified if they meet the minimum requirements for this position. Reasonable Accommodation: If you are an applicant who needs a reasonable accommodation for disability to participate in the application process at the SEC, submit the form for Reasonable Accommodation for Participation in Job Application Process here . Please be sure to submit your request at least 5 business days in advance of the date you need the requested accommodation. Equal Employment Opportunity (EEO) Information for SEC Job Applicants : Federal EEO laws protect all applicants from discrimination on the following bases: race, color, sex (not limited to conduct which is sexual in nature, includes pregnancy, gender identity, sexual orientation, transgender status), age (40 and over), religion, national origin, disability, genetic information, retaliation for participating in the EEO process or opposing discrimination. Applicants who believe they have been discriminated against on any EEO basis can seek recourse through the SEC's administrative complaints process. To be timely, an individual must enter the EEO process within 45 days from when they know (or should have known) of the alleged discrimination. Click here for additional information. Read more Benefits Help
A career with the U.S. government provides employees with a comprehensive benefits package. As a federal employee, you and your family will have access to a range of benefits that are designed to make your federal career very rewarding. Opens in a new window Learn more about federal benefits .
Review our benefits Eligibility for benefits depends on the type of position you hold and whether your position is full-time, part-time or intermittent. Contact the hiring agency for more information on the specific benefits offered. Help
Required Documents
You must provide a complete Application Package, which includes:
Required : Your responses to the Occupational Questionnaire. Required: Your complete and comprehensive resume that includes a complete history of your work experience and the applicable employment dates with months and years. It is recommended that your resume include thetitle, series, and grade (e.g. SK-0301-12) for all relevant Federal experience . To determine if you qualify for this position, OHR will review your work history that is relevant to the specific position for which you applied. If you are a current SEC employee selected for this position, the standard percentage increases will be applied (i.e., 6% for non-supervisory and 10% for supervisory positions) if your selection results in a promotion. If your selection results in lateral movement (i.e. no change in grade) you will maintain your current salary. If your selection results in a change in grade from an SK-15 to an SK-16 you will maintain your current salary.Note: Your resume must directly address the definition of specialized experience listed in the qualification section of this announcement and must NOT contain pictures.
If you are relying on your education to meet qualification requirements:
Education must be accredited by an accrediting institution recognized by the U.S. Department of Education in order for it to be credited towards qualifications. Therefore, provide only the attendance and/or degrees from
schools accredited by accrediting institutions recognized by the U.S. Department of Education .
Failure to provide all of the required information as stated in this vacancy announcement may result in an ineligible rating or may affect the overall rating.
Assistant Teaching Professor of Psychology
Penn State Harrisburg, School of Behavioral Sciences and Education, invites applications for a non-tenure line teaching position at the rank of Assistant Teaching Professor in Clinical or Counseling Psychology. This position is a full-time, term, 36-week appointment starting in Fall 2024.
Primary responsibilities will include teaching clinical courses, such as abnormal psychology, clinical practicum and internship, and interviewing/counseling, in the undergraduate and graduate psychology programs. Additional responsibilities may include serving as internship coordinator for the master's program in Clinical Psychology and chairing student Master's committees. The successful candidate will provide service, in addition to teaching, and be eligible for licensure in Pennsylvania. Applicants should have demonstrated excellence in teaching, along with a commitment to integrity, diversity, collaboration, and professional service. We are committed to building a culturally diverse faculty and strongly encourage applications from individuals of underrepresented groups.
The assistant teaching professor should possess a terminal degree or its equivalent in an academic field related to his/her teaching specialization; alternatively, the assistant teaching professor without a terminal degree should possess at least a master's degree or its equivalent in an academic field related to their teaching specialization; must have demonstrated ability as a teacher and adviser; and must have shown evidence of professional growth, scholarship, and/or mastery of subject matter
Candidates for the position must hold a doctorate preferably in clinical or counseling psychology, and licensure or license eligibility as a psychologist is preferred.
The Psychology Program at Penn State Harrisburg offers a BS in psychology, a Master's degree in Applied Behavior Analysis, and a graduate degree in Clinical Psychology, which can fulfill the educational requirements for licensure as a Master's-level therapist. The Clinical Psychology program will undergo a self-study for MPCAC accreditation in the 2024-2025 academic year.
Workforce diversity, cultural inclusiveness, and employment equity are deeply rooted in Penn State's historic mission. Just as we are committed to being a diverse educational environment, we are also committed to being a diverse working community. As a community, we endeavor to be a mixture of cultural backgrounds, life experiences, individual perspectives, and numerous other characteristics that add variety and vitality to the workplace. The administration, faculty, and staff of Penn State Harrisburg (PSH) take pride in the fact that PSH is one of the most diverse and inclusive campuses of Penn State University, and we are deeply committed to supporting a culturally, ethnically, and racially inclusive environment.
Penn State Harrisburg is in Middletown, near the city of Harrisburg, the state capital of Pennsylvania. The college is easily accessible via interstate and rail routes from Baltimore, Philadelphia, Washington DC, and New York. Penn State Harrisburg has an enrollment of approximately 5,000 students, including a broad, diverse, and non-traditional population, and brings nationally accredited academic programs, award-winning faculty, and the resources of a world-class research university to Pennsylvania's Capital Region. The College offers students the opportunity to earn baccalaureate degrees in 39 academic majors. As a graduate center, the College offers 28 master's degrees and 3 doctoral degree programs. To learn more about the College and the School of Behavioral Sciences and Education, which is the home for the Psychology Program, please visit http://harrisburg.psu.edu and www.hbg.psu.edu/bsed.
To be considered, candidates must apply electronically on the Penn State job site at https://hr.psu.edu/careers and submit the following:
• Cover letter of application specifically addressing the position's responsibilities and qualifications, including a statement of teaching and research interests.
• Current curriculum vitae.
• Names and contact information for three professional references.
Review of applications will begin on February 1, 2024, and continue until the position is filled.
Questions can be directed to the chair of the search committee, Dr. Cobi Michael at mailto:cmk292@psu.edu.
CAMPUS SECURITY CRIME STATISTICS:
Pursuant to the Jeanne Clery Disclosure of Campus Security Policy and Campus Crime Statistics Act and the Pennsylvania Act of 1988, Penn State publishes a combined Annual Security and Annual Fire Safety Report (ASR). The ASR includes crime statistics and institutional policies concerning campus security, such as those concerning alcohol and drug use, crime prevention, the reporting of crimes, sexual assault, and other matters. The ASR is available for review https://police.psu.edu/annual-security-reports.
Employment with the University will require successful completion of background check(s) in accordance with University policies.
https://www.eeoc.gov/sites/default/files/migrated_files/employers/poster_screen_reader_optimized.pdf
Penn State is an equal opportunity, affirmative action employer, and is committed to providing employment opportunities to all qualified applications without regards to race, color, religion, age, sex, sexual orientation, gender identity, national origin, disability, or protected veteran status. If you are unable to use our online application process due to an impairment or disability, please contact 814-865-1473.
Apply online at https://apptrkr.com/5028975
CAMPUS SECURITY CRIME STATISTICS: For more about safety at Penn State, and to review the Annual Security Report which contains information about crime statistics and other safety and security matters, please go to http://www.police.psu.edu/clery/, which will also provide you with detail on how to request a hard copy of the Annual Security Report.
Penn State is an equal opportunity, affirmative action employer, and is committed to providing employment opportunities to all qualified applicants without regard to race, color, religion, age, sex, sexual orientation, gender identity, national origin, disability or protected veteran status.
Full Time
Assistant Teaching Professor of Psychology
Penn State Harrisburg, School of Behavioral Sciences and Education, invites applications for a non-tenure line teaching position at the rank of Assistant Teaching Professor in Clinical or Counseling Psychology. This position is a full-time, term, 36-week appointment starting in Fall 2024.
Primary responsibilities will include teaching clinical courses, such as abnormal psychology, clinical practicum and internship, and interviewing/counseling, in the undergraduate and graduate psychology programs. Additional responsibilities may include serving as internship coordinator for the master's program in Clinical Psychology and chairing student Master's committees. The successful candidate will provide service, in addition to teaching, and be eligible for licensure in Pennsylvania. Applicants should have demonstrated excellence in teaching, along with a commitment to integrity, diversity, collaboration, and professional service. We are committed to building a culturally diverse faculty and strongly encourage applications from individuals of underrepresented groups.
The assistant teaching professor should possess a terminal degree or its equivalent in an academic field related to his/her teaching specialization; alternatively, the assistant teaching professor without a terminal degree should possess at least a master's degree or its equivalent in an academic field related to their teaching specialization; must have demonstrated ability as a teacher and adviser; and must have shown evidence of professional growth, scholarship, and/or mastery of subject matter
Candidates for the position must hold a doctorate preferably in clinical or counseling psychology, and licensure or license eligibility as a psychologist is preferred.
The Psychology Program at Penn State Harrisburg offers a BS in psychology, a Master's degree in Applied Behavior Analysis, and a graduate degree in Clinical Psychology, which can fulfill the educational requirements for licensure as a Master's-level therapist. The Clinical Psychology program will undergo a self-study for MPCAC accreditation in the 2024-2025 academic year.
Workforce diversity, cultural inclusiveness, and employment equity are deeply rooted in Penn State's historic mission. Just as we are committed to being a diverse educational environment, we are also committed to being a diverse working community. As a community, we endeavor to be a mixture of cultural backgrounds, life experiences, individual perspectives, and numerous other characteristics that add variety and vitality to the workplace. The administration, faculty, and staff of Penn State Harrisburg (PSH) take pride in the fact that PSH is one of the most diverse and inclusive campuses of Penn State University, and we are deeply committed to supporting a culturally, ethnically, and racially inclusive environment.
Penn State Harrisburg is in Middletown, near the city of Harrisburg, the state capital of Pennsylvania. The college is easily accessible via interstate and rail routes from Baltimore, Philadelphia, Washington DC, and New York. Penn State Harrisburg has an enrollment of approximately 5,000 students, including a broad, diverse, and non-traditional population, and brings nationally accredited academic programs, award-winning faculty, and the resources of a world-class research university to Pennsylvania's Capital Region. The College offers students the opportunity to earn baccalaureate degrees in 39 academic majors. As a graduate center, the College offers 28 master's degrees and 3 doctoral degree programs. To learn more about the College and the School of Behavioral Sciences and Education, which is the home for the Psychology Program, please visit http://harrisburg.psu.edu and www.hbg.psu.edu/bsed.
To be considered, candidates must apply electronically on the Penn State job site at https://hr.psu.edu/careers and submit the following:
• Cover letter of application specifically addressing the position's responsibilities and qualifications, including a statement of teaching and research interests.
• Current curriculum vitae.
• Names and contact information for three professional references.
Review of applications will begin on February 1, 2024, and continue until the position is filled.
Questions can be directed to the chair of the search committee, Dr. Cobi Michael at mailto:cmk292@psu.edu.
CAMPUS SECURITY CRIME STATISTICS:
Pursuant to the Jeanne Clery Disclosure of Campus Security Policy and Campus Crime Statistics Act and the Pennsylvania Act of 1988, Penn State publishes a combined Annual Security and Annual Fire Safety Report (ASR). The ASR includes crime statistics and institutional policies concerning campus security, such as those concerning alcohol and drug use, crime prevention, the reporting of crimes, sexual assault, and other matters. The ASR is available for review https://police.psu.edu/annual-security-reports.
Employment with the University will require successful completion of background check(s) in accordance with University policies.
https://www.eeoc.gov/sites/default/files/migrated_files/employers/poster_screen_reader_optimized.pdf
Penn State is an equal opportunity, affirmative action employer, and is committed to providing employment opportunities to all qualified applications without regards to race, color, religion, age, sex, sexual orientation, gender identity, national origin, disability, or protected veteran status. If you are unable to use our online application process due to an impairment or disability, please contact 814-865-1473.
Apply online at https://apptrkr.com/5028975
CAMPUS SECURITY CRIME STATISTICS: For more about safety at Penn State, and to review the Annual Security Report which contains information about crime statistics and other safety and security matters, please go to http://www.police.psu.edu/clery/, which will also provide you with detail on how to request a hard copy of the Annual Security Report.
Penn State is an equal opportunity, affirmative action employer, and is committed to providing employment opportunities to all qualified applicants without regard to race, color, religion, age, sex, sexual orientation, gender identity, national origin, disability or protected veteran status.
U.S. Securities and Exchange Commission
Los Angeles, CA
Duties
At the Securities and Exchange Commission (SEC), we are committed to diversity, equity, inclusion and accessibility (DEIA) and value a workforce that reflects the diverse experiences and perspectives of the communities we serve. As such, we welcome applications from qualified individuals of all backgrounds who share our commitment to public service.
Duties include:
Exercise the full range of supervisory and personnel management responsibilities pertinent to work performed by subordinate staff, assuring the fulfillment of quality work products to meet changing requirements and contingencies as they develop. Serve as a senior adviser providing expert financial and economic data analysis, responding to complex and difficult questions related to or market microstructure data. Direct and/or conduct extensive analyses and reviews of financial and economic data such as intraday tick, limit order book, and regulatory audit trail data for various securities (e.g., equities, options, fixed income, SB swaps, digital securities, and securities lending) to inform rule writing, or evaluate SRO filings, or produce statistical or analytical reports for stakeholders across the agency. Assist rulemaking teams in the developing of Economic Analyses, including creating a baseline and quantifying potential benefits and costs with data analysis; or develop financial analyses and recommendations for issues that warrant attention and/or investigation or examination by SEC. Support efficient market microstructure data access by developing staff expertise in microstructure data and tools and by providing for the compilation and quality control of microstructure data and tools, as necessary. Communicate effectively, verbally and in writing for both technical and non-technical audiences, and presenting formal and informal briefing materials to SEC staff as well as others outside the SEC. Serve as subject matter expert in the analysis of financial and economic data, such as intraday tick data, limit order book, and regulatory audit trail data for various securities (e.g., equities, options, fixed income, SB swaps, digital securities, and securities lending). Keep abreast of trends and developments in financial market structure and market microstructure and research in these areas (academic and practitioner research); data sources and tools for analyzing microstructure data; and empirical methodologies. Requirements Conditions of Employment You must be a US Citizen. Application procedures are specific to this vacancy announcement. Please read all the instructions carefully. Failure to follow the instructions may result in you not being considered for this position. Supplementary vacancies may be filled in addition to the number stated in this announcement. This position has promotion potential to the SK-15. PROBATIONARY PERIOD: This appointment may require completion of a one-year probationary period. SECURITY CLEARANCE: Entrance on duty is contingent upon completion of a pre-employment security investigation. Favorable results on a Background Investigation may be a condition of employment or selection to another position. DRUG TESTING: This position may be subjected to drug testing requirements. PERMANENT CHANGE OF STATION (PCS): Moving/Relocation expenses are not authorized. DIRECT DEPOSIT: All Federal employees are required to have Federal salary payments made by direct deposit to a financial institution of their choosing. This position is not in the collective bargaining unit. This position is eligible to request telework in accordance with the SEC 's telework policy. This announcement is open to current, permanent DERA employees only. This temporary competitive promotion may lead to a permanent promotion without further competition. If selected, you may receive a salary increase for the duration of the temporary promotion. You will be returned to your original salary at the end of the appointment. If selected, you will accrue 8 hours of annual leave per pay period for the duration of the temporary promotion. You will be returned to your original annual leave accrual at the end of the appointment. This is a promotion not-to-exceed 2-years from date of appointment to the position. Qualifications All qualification requirements must be met by the closing date of this announcement.
Time-in-grade for this announcement is one year at the GS/SK-13 level.
Qualifying experience may be obtained in the private or public sector. Experience refers to paid and unpaid experience, including volunteer work done through National Service programs (e.g., Peace Corps, AmeriCorps) and other organizations (e.g., professional; philanthropic; religious; spiritual; community, student, social). Volunteer work helps build critical competencies, knowledge, and skills and can provide valuable training and experience that translates directly to paid employment. You will receive credit for all qualifying experience, including volunteer experience. MINIMUM QUALIFICATION REQUIREMENT :
SK-15: Applicant must have at least one year of specialized experience equivalent to the GS/SK-13 level: Executing or directing data analysis that serve to inform the Commission's rulemaking, evaluation of Self Regulatory Organization (SRO) filings and SRO pilots, and other policy initiatives as they pertain to the regulation and structure of trading in securities markets (e.g., equities, options, fixed income, SB swaps, digital securities, and securities lending).
Additional information Disability Employment: For information on disability appointments, please visit http://www.opm.gov/policy-data-oversight/disability-employment/ IMPORTANT INFORMATION FOR SURPLUS OR DISPLACED FEDERAL EMPLOYEES: Career Transition Assistance Plan (CTAP) is available to individuals who have special priority selection rights under this plan. Individuals must be well-qualified for this position to receive consideration for special priority selection. CTAP eligibles will be considered well-qualified when receiving an adjudicated score of 80 or higher. Reasonable Accommodation: If you are an applicant who needs a reasonable accommodation for disability to participate in the application process at the SEC, submit the form for Reasonable Accommodation for Participation in Job Application Process here . Please be sure to submit your request at least 5 business days in advance of the date you need the requested accommodation. Equal Employment Opportunity (EEO) Information for SEC Job Applicants: Federal EEO laws protect all applicants from discrimination on the following bases: race, color, sex (not limited to conduct which is sexual in nature, includes pregnancy, gender identity, sexual orientation, transgender status), age (40 and over), religion, national origin, disability, genetic information, retaliation for participating in the EEO process or opposing discrimination. Applicants who believe they have been discriminated against on any EEO basis can seek recourse through the SEC's administrative complaints process. To be timely, an individual must enter the EEO process within 45 days from when they know (or should have known) of the alleged discrimination. Click here for additional information. Read more Benefits
A career with the U.S. government provides employees with a comprehensive benefits package. As a federal employee, you and your family will have access to a range of benefits that are designed to make your federal career very rewarding. Opens in a new window Learn more about federal benefits .
Review our benefits Eligibility for benefits depends on the type of position you hold and whether your position is full-time, part-time or intermittent. Contact the hiring agency for more information on the specific benefits offered. Required Documents
You must provide a complete Application Package, which includes:
Required : Your responses to the Online Assessment Questionnaire. Required: Your complete and comprehensive resume that includes a complete history of your work experience and the applicable employment dates with months and years. It is recommended that your resume include thetitle, series, and grade (e.g. SK-0301-12) for all relevant Federal experience . To determine if you qualify for this position, OHR will review your work history that is relevant to the specific position for which you applied. If you are a current SEC employee selected for this position, the standard percentage increases will be applied (i.e.,10% for supervisory positions) if your selection results in a promotion. If your selection results in lateral movement (i.e. no change in grade) you will maintain your current salary. If your selection results in a change in grade from an SK-15 to an SK-16 you will maintain your current salary.Note: Your resume must directly address the definition of specialized experience listed in the qualification section of this announcement and must NOT contain pictures. Required, if applicable : CTAP documentation (a copy of a separation notice or other proof of eligibility for priority selection; a copy of an SF-50, Notification of Personnel Action, showing current position, grade, promotion potential, and duty location; AND a copy of your most recent performance appraisal.) *SEC EMPLOYEES : OHR will verify your competitive service eligibility via the SEC's personnel database.
If you are relying on your education to meet qualification requirements:
Education must be accredited by an accrediting institution recognized by the U.S. Department of Education in order for it to be credited towards qualifications. Therefore, provide only the attendance and/or degrees from
schools accredited by accrediting institutions recognized by the U.S. Department of Education .
Failure to provide all of the required information as stated in this vacancy announcement may result in an ineligible rating or may affect the overall rating.
Full-time
Duties
At the Securities and Exchange Commission (SEC), we are committed to diversity, equity, inclusion and accessibility (DEIA) and value a workforce that reflects the diverse experiences and perspectives of the communities we serve. As such, we welcome applications from qualified individuals of all backgrounds who share our commitment to public service.
Duties include:
Exercise the full range of supervisory and personnel management responsibilities pertinent to work performed by subordinate staff, assuring the fulfillment of quality work products to meet changing requirements and contingencies as they develop. Serve as a senior adviser providing expert financial and economic data analysis, responding to complex and difficult questions related to or market microstructure data. Direct and/or conduct extensive analyses and reviews of financial and economic data such as intraday tick, limit order book, and regulatory audit trail data for various securities (e.g., equities, options, fixed income, SB swaps, digital securities, and securities lending) to inform rule writing, or evaluate SRO filings, or produce statistical or analytical reports for stakeholders across the agency. Assist rulemaking teams in the developing of Economic Analyses, including creating a baseline and quantifying potential benefits and costs with data analysis; or develop financial analyses and recommendations for issues that warrant attention and/or investigation or examination by SEC. Support efficient market microstructure data access by developing staff expertise in microstructure data and tools and by providing for the compilation and quality control of microstructure data and tools, as necessary. Communicate effectively, verbally and in writing for both technical and non-technical audiences, and presenting formal and informal briefing materials to SEC staff as well as others outside the SEC. Serve as subject matter expert in the analysis of financial and economic data, such as intraday tick data, limit order book, and regulatory audit trail data for various securities (e.g., equities, options, fixed income, SB swaps, digital securities, and securities lending). Keep abreast of trends and developments in financial market structure and market microstructure and research in these areas (academic and practitioner research); data sources and tools for analyzing microstructure data; and empirical methodologies. Requirements Conditions of Employment You must be a US Citizen. Application procedures are specific to this vacancy announcement. Please read all the instructions carefully. Failure to follow the instructions may result in you not being considered for this position. Supplementary vacancies may be filled in addition to the number stated in this announcement. This position has promotion potential to the SK-15. PROBATIONARY PERIOD: This appointment may require completion of a one-year probationary period. SECURITY CLEARANCE: Entrance on duty is contingent upon completion of a pre-employment security investigation. Favorable results on a Background Investigation may be a condition of employment or selection to another position. DRUG TESTING: This position may be subjected to drug testing requirements. PERMANENT CHANGE OF STATION (PCS): Moving/Relocation expenses are not authorized. DIRECT DEPOSIT: All Federal employees are required to have Federal salary payments made by direct deposit to a financial institution of their choosing. This position is not in the collective bargaining unit. This position is eligible to request telework in accordance with the SEC 's telework policy. This announcement is open to current, permanent DERA employees only. This temporary competitive promotion may lead to a permanent promotion without further competition. If selected, you may receive a salary increase for the duration of the temporary promotion. You will be returned to your original salary at the end of the appointment. If selected, you will accrue 8 hours of annual leave per pay period for the duration of the temporary promotion. You will be returned to your original annual leave accrual at the end of the appointment. This is a promotion not-to-exceed 2-years from date of appointment to the position. Qualifications All qualification requirements must be met by the closing date of this announcement.
Time-in-grade for this announcement is one year at the GS/SK-13 level.
Qualifying experience may be obtained in the private or public sector. Experience refers to paid and unpaid experience, including volunteer work done through National Service programs (e.g., Peace Corps, AmeriCorps) and other organizations (e.g., professional; philanthropic; religious; spiritual; community, student, social). Volunteer work helps build critical competencies, knowledge, and skills and can provide valuable training and experience that translates directly to paid employment. You will receive credit for all qualifying experience, including volunteer experience. MINIMUM QUALIFICATION REQUIREMENT :
SK-15: Applicant must have at least one year of specialized experience equivalent to the GS/SK-13 level: Executing or directing data analysis that serve to inform the Commission's rulemaking, evaluation of Self Regulatory Organization (SRO) filings and SRO pilots, and other policy initiatives as they pertain to the regulation and structure of trading in securities markets (e.g., equities, options, fixed income, SB swaps, digital securities, and securities lending).
Additional information Disability Employment: For information on disability appointments, please visit http://www.opm.gov/policy-data-oversight/disability-employment/ IMPORTANT INFORMATION FOR SURPLUS OR DISPLACED FEDERAL EMPLOYEES: Career Transition Assistance Plan (CTAP) is available to individuals who have special priority selection rights under this plan. Individuals must be well-qualified for this position to receive consideration for special priority selection. CTAP eligibles will be considered well-qualified when receiving an adjudicated score of 80 or higher. Reasonable Accommodation: If you are an applicant who needs a reasonable accommodation for disability to participate in the application process at the SEC, submit the form for Reasonable Accommodation for Participation in Job Application Process here . Please be sure to submit your request at least 5 business days in advance of the date you need the requested accommodation. Equal Employment Opportunity (EEO) Information for SEC Job Applicants: Federal EEO laws protect all applicants from discrimination on the following bases: race, color, sex (not limited to conduct which is sexual in nature, includes pregnancy, gender identity, sexual orientation, transgender status), age (40 and over), religion, national origin, disability, genetic information, retaliation for participating in the EEO process or opposing discrimination. Applicants who believe they have been discriminated against on any EEO basis can seek recourse through the SEC's administrative complaints process. To be timely, an individual must enter the EEO process within 45 days from when they know (or should have known) of the alleged discrimination. Click here for additional information. Read more Benefits
A career with the U.S. government provides employees with a comprehensive benefits package. As a federal employee, you and your family will have access to a range of benefits that are designed to make your federal career very rewarding. Opens in a new window Learn more about federal benefits .
Review our benefits Eligibility for benefits depends on the type of position you hold and whether your position is full-time, part-time or intermittent. Contact the hiring agency for more information on the specific benefits offered. Required Documents
You must provide a complete Application Package, which includes:
Required : Your responses to the Online Assessment Questionnaire. Required: Your complete and comprehensive resume that includes a complete history of your work experience and the applicable employment dates with months and years. It is recommended that your resume include thetitle, series, and grade (e.g. SK-0301-12) for all relevant Federal experience . To determine if you qualify for this position, OHR will review your work history that is relevant to the specific position for which you applied. If you are a current SEC employee selected for this position, the standard percentage increases will be applied (i.e.,10% for supervisory positions) if your selection results in a promotion. If your selection results in lateral movement (i.e. no change in grade) you will maintain your current salary. If your selection results in a change in grade from an SK-15 to an SK-16 you will maintain your current salary.Note: Your resume must directly address the definition of specialized experience listed in the qualification section of this announcement and must NOT contain pictures. Required, if applicable : CTAP documentation (a copy of a separation notice or other proof of eligibility for priority selection; a copy of an SF-50, Notification of Personnel Action, showing current position, grade, promotion potential, and duty location; AND a copy of your most recent performance appraisal.) *SEC EMPLOYEES : OHR will verify your competitive service eligibility via the SEC's personnel database.
If you are relying on your education to meet qualification requirements:
Education must be accredited by an accrediting institution recognized by the U.S. Department of Education in order for it to be credited towards qualifications. Therefore, provide only the attendance and/or degrees from
schools accredited by accrediting institutions recognized by the U.S. Department of Education .
Failure to provide all of the required information as stated in this vacancy announcement may result in an ineligible rating or may affect the overall rating.
U.S. Securities and Exchange Commission
Washington, DC
Duties
At the Securities and Exchange Commission (SEC), we are committed to diversity, equity, inclusion and accessibility (DEIA) and value a workforce that reflects the diverse experiences and perspectives of the communities we serve. As such, we welcome applications from qualified individuals of all backgrounds who share our commitment to public service.
TCP has primary responsibility for oversight and technology examinations of self-regulatory organizations as well as for broker-dealers and investment advisers.
As an Attorney-Adviser, you will:
Provide expert advice and guidance on broad projects and programs with national impact related to the SEC's Technology Controls ("TCP") program; Provide regulatory guidance related to the use of technology by SEC registrants; Review rulemaking impacting TCP and prepare legal guidance for the examination program on new rules; Advise and provide counsel to Division senior leadership on matters related to TCP; Review and/or draft documents pertaining to complex, high profile and sensitive issues for audiences that include a variety of internal and external recipients; and Represent the agency in high level meetings, conferences, and presentations involving a wide range of participants such as regulatory or law enforcement agencies; state, local, national, or international government offices; private industry; and the academic community. Requirements Conditions of Employment CITIZENSHIP: You must be a US Citizen. You must possess a J.D. or LL.B Degree and You must be an active member of the bar in good standing. This position is open to current permanent EXAMS employees ONLY. Application procedures are specific to this vacancy announcement. Please read all the instructions carefully. Failure to follow the instructions may result in you not being considered for this position. Supplementary vacancies may be filled in addition to the number stated in this announcement. This position has promotion potential to the SK-16. TRIAL PERIOD: This appointment may require completion of a two-year trial period. SECURITY CLEARANCE: Entrance on duty is contingent upon completion of a pre-employment security investigation. Favorable results on a Background Investigation may be a condition of employment or selection to another position. DRUG TESTING: This position may be subjected to drug testing requirements. PERMANENT CHANGE OF STATION (PCS): Moving/Relocation expenses are not authorized. DIRECT DEPOSIT: All Federal employees are required to have Federal salary payments made by direct deposit to a financial institution of their choosing. This position is in the collective bargaining unit. This appointment may be extended OR it may end at any time during the course of the appointment at the discretion of management. Applicants should also be available for possible extension, if needed. This temporary competitive promotion may lead to a permanent promotion without further competition. If selected, you may receive a salary increase for the duration of the temporary promotion. You will be returned to your original salary at the end of the appointment. If selected, you will accrue 8 hours of annual leave per pay period for the duration of the temporary promotion. You will be returned to your original annual leave accrual at the end of the appointment. This position is eligible to request telework in accordance with the SEC 's telework policy. Existing Participants in the SEC’s Remote Telework Program are eligible to apply for this position. If selected, management will evaluate and communicate whether the position will allow for continued participation in Remote Telework. Qualifications All qualification requirements must be met by the closing date of this announcement.
Qualifying experience may be obtained in the private or public sector. Experience refers to paid and unpaid experience, including volunteer work done through National Service programs (e.g., Peace Corps, AmeriCorps) and other organizations (e.g., professional; philanthropic; religious; spiritual; community, student, social). Volunteer work helps build critical competencies, knowledge, and skills and can provide valuable training and experience that translates directly to paid employment. You will receive credit for all qualifying experience, including volunteer experience. Qualifying education must have been obtained from an accredited college or university recognized by the U.S. Department of Education. BASIC REQUIREMENT: All applicants must possess the following J.D. or LL.B. degree --AND-- Active membership of the bar in good standing in any state, territory of the United States, the District of Columbia, or the commonwealth of Puerto Rico. (Note: proof of bar membership will be required before entry on duty. MINIMUM QUALIFICATION REQUIREMENT: In addition to meeting the basic requirement, applicants must also meet the minimum qualification requirement. SK-16: Applicant must have one year of specialized experience equivalent to the SK-14 level. Specialized experience includes: Researching, preparing, and delivering guidance on a variety of complex legal issues arising from interpretation and application of federal securities laws, rules and regulations; AND Representing an organization at briefings, meetings, or conferences; AND Drafting and editing memoranda, filings or other substantive written work product for various audiences on a variety of legal issues; AND Serving as an adviser to management concerning cybersecurity, systems, networks, or software designs for potential security risks. Education FOREIGN EDUCATION: If you are using education completed in foreign colleges or universities to meet the qualification requirements, you must show the education credentials have been evaluated by a private organization that specializes in interpretation of foreign education programs and such education has been deemed equivalent to that gained in an accredited U.S. education program; or full credit has been given for the courses at a U.S. accredited college or university. For further information, visit: http://www.ed.gov/about/offices/list/ous/international/usnei/us/edlite-visitus-forrecog.html Additional information Salary Ranges Chicago, IL $157,553 - $267,572 New York, NY $165,286 - $272,100 Washington DC $160,831 - $272,100 IMPORTANT INFORMATION FOR SURPLUS OR DISPLACED FEDERAL EMPLOYEES: Career Transition Assistance Plan (CTAP) is available to individuals who have special priority selection rights under this plan. Individuals must be minimally qualified for this position to receive consideration for special priority selection. CTAP eligibles will be considered minimally qualified if they meet the minimum requirements for this position. Reasonable Accommodation: If you are an applicant who needs a reasonable accommodation for disability to participate in the application process at the SEC, submit the form for Reasonable Accommodation for Participation in Job Application Process here . Please be sure to submit your request at least 5 business days in advance of the date you need the requested accommodation. Equal Employment Opportunity (EEO) Information for SEC Job Applicants : Federal EEO laws protect all applicants from discrimination on the following bases: race, color, sex (not limited to conduct which is sexual in nature, includes pregnancy, gender identity, sexual orientation, transgender status), age (40 and over), religion, national origin, disability, genetic information, retaliation for participating in the EEO process or opposing discrimination. Applicants who believe they have been discriminated against on any EEO basis can seek recourse through the SEC's administrative complaints process. To be timely, an individual must enter the EEO process within 45 days from when they know (or should have known) of the alleged discrimination. Click here for additional information. Read more Benefits
A career with the U.S. government provides employees with a comprehensive benefits package. As a federal employee, you and your family will have access to a range of benefits that are designed to make your federal career very rewarding. Opens in a new window Learn more about federal benefits .
Review our benefits Eligibility for benefits depends on the type of position you hold and whether your position is full-time, part-time or intermittent. Contact the hiring agency for more information on the specific benefits offered. Required Documents
You must provide a complete Application Package, which includes:
Required : Your responses to the Occupational Questionnaire. Required: Your complete and comprehensive resume that includes a complete history of your work experience and the applicable employment dates with months and years. It is recommended that your resume include thetitle, series, and grade (e.g. SK-0301-12) for all relevant Federal experience . To determine if you qualify for this position, OHR will review your work history that is relevant to the specific position for which you applied. If you are a current SEC employee selected for this position, the standard percentage increases will be applied (i.e., 6% for non-supervisory and 10% for supervisory positions) if your selection results in a promotion. If your selection results in lateral movement (i.e. no change in grade) you will maintain your current salary. If your selection results in a change in grade from an SK-15 to an SK-16 you will maintain your current salary.Note: Your resume must directly address the definition of specialized experience listed in the qualification section of this announcement and must NOT contain pictures.
If you are relying on your education to meet qualification requirements:
Education must be accredited by an accrediting institution recognized by the U.S. Department of Education in order for it to be credited towards qualifications. Therefore, provide only the attendance and/or degrees from
schools accredited by accrediting institutions recognized by the U.S. Department of Education .
Failure to provide all of the required information as stated in this vacancy announcement may result in an ineligible rating or may affect the overall rating.
Full-time
Duties
At the Securities and Exchange Commission (SEC), we are committed to diversity, equity, inclusion and accessibility (DEIA) and value a workforce that reflects the diverse experiences and perspectives of the communities we serve. As such, we welcome applications from qualified individuals of all backgrounds who share our commitment to public service.
TCP has primary responsibility for oversight and technology examinations of self-regulatory organizations as well as for broker-dealers and investment advisers.
As an Attorney-Adviser, you will:
Provide expert advice and guidance on broad projects and programs with national impact related to the SEC's Technology Controls ("TCP") program; Provide regulatory guidance related to the use of technology by SEC registrants; Review rulemaking impacting TCP and prepare legal guidance for the examination program on new rules; Advise and provide counsel to Division senior leadership on matters related to TCP; Review and/or draft documents pertaining to complex, high profile and sensitive issues for audiences that include a variety of internal and external recipients; and Represent the agency in high level meetings, conferences, and presentations involving a wide range of participants such as regulatory or law enforcement agencies; state, local, national, or international government offices; private industry; and the academic community. Requirements Conditions of Employment CITIZENSHIP: You must be a US Citizen. You must possess a J.D. or LL.B Degree and You must be an active member of the bar in good standing. This position is open to current permanent EXAMS employees ONLY. Application procedures are specific to this vacancy announcement. Please read all the instructions carefully. Failure to follow the instructions may result in you not being considered for this position. Supplementary vacancies may be filled in addition to the number stated in this announcement. This position has promotion potential to the SK-16. TRIAL PERIOD: This appointment may require completion of a two-year trial period. SECURITY CLEARANCE: Entrance on duty is contingent upon completion of a pre-employment security investigation. Favorable results on a Background Investigation may be a condition of employment or selection to another position. DRUG TESTING: This position may be subjected to drug testing requirements. PERMANENT CHANGE OF STATION (PCS): Moving/Relocation expenses are not authorized. DIRECT DEPOSIT: All Federal employees are required to have Federal salary payments made by direct deposit to a financial institution of their choosing. This position is in the collective bargaining unit. This appointment may be extended OR it may end at any time during the course of the appointment at the discretion of management. Applicants should also be available for possible extension, if needed. This temporary competitive promotion may lead to a permanent promotion without further competition. If selected, you may receive a salary increase for the duration of the temporary promotion. You will be returned to your original salary at the end of the appointment. If selected, you will accrue 8 hours of annual leave per pay period for the duration of the temporary promotion. You will be returned to your original annual leave accrual at the end of the appointment. This position is eligible to request telework in accordance with the SEC 's telework policy. Existing Participants in the SEC’s Remote Telework Program are eligible to apply for this position. If selected, management will evaluate and communicate whether the position will allow for continued participation in Remote Telework. Qualifications All qualification requirements must be met by the closing date of this announcement.
Qualifying experience may be obtained in the private or public sector. Experience refers to paid and unpaid experience, including volunteer work done through National Service programs (e.g., Peace Corps, AmeriCorps) and other organizations (e.g., professional; philanthropic; religious; spiritual; community, student, social). Volunteer work helps build critical competencies, knowledge, and skills and can provide valuable training and experience that translates directly to paid employment. You will receive credit for all qualifying experience, including volunteer experience. Qualifying education must have been obtained from an accredited college or university recognized by the U.S. Department of Education. BASIC REQUIREMENT: All applicants must possess the following J.D. or LL.B. degree --AND-- Active membership of the bar in good standing in any state, territory of the United States, the District of Columbia, or the commonwealth of Puerto Rico. (Note: proof of bar membership will be required before entry on duty. MINIMUM QUALIFICATION REQUIREMENT: In addition to meeting the basic requirement, applicants must also meet the minimum qualification requirement. SK-16: Applicant must have one year of specialized experience equivalent to the SK-14 level. Specialized experience includes: Researching, preparing, and delivering guidance on a variety of complex legal issues arising from interpretation and application of federal securities laws, rules and regulations; AND Representing an organization at briefings, meetings, or conferences; AND Drafting and editing memoranda, filings or other substantive written work product for various audiences on a variety of legal issues; AND Serving as an adviser to management concerning cybersecurity, systems, networks, or software designs for potential security risks. Education FOREIGN EDUCATION: If you are using education completed in foreign colleges or universities to meet the qualification requirements, you must show the education credentials have been evaluated by a private organization that specializes in interpretation of foreign education programs and such education has been deemed equivalent to that gained in an accredited U.S. education program; or full credit has been given for the courses at a U.S. accredited college or university. For further information, visit: http://www.ed.gov/about/offices/list/ous/international/usnei/us/edlite-visitus-forrecog.html Additional information Salary Ranges Chicago, IL $157,553 - $267,572 New York, NY $165,286 - $272,100 Washington DC $160,831 - $272,100 IMPORTANT INFORMATION FOR SURPLUS OR DISPLACED FEDERAL EMPLOYEES: Career Transition Assistance Plan (CTAP) is available to individuals who have special priority selection rights under this plan. Individuals must be minimally qualified for this position to receive consideration for special priority selection. CTAP eligibles will be considered minimally qualified if they meet the minimum requirements for this position. Reasonable Accommodation: If you are an applicant who needs a reasonable accommodation for disability to participate in the application process at the SEC, submit the form for Reasonable Accommodation for Participation in Job Application Process here . Please be sure to submit your request at least 5 business days in advance of the date you need the requested accommodation. Equal Employment Opportunity (EEO) Information for SEC Job Applicants : Federal EEO laws protect all applicants from discrimination on the following bases: race, color, sex (not limited to conduct which is sexual in nature, includes pregnancy, gender identity, sexual orientation, transgender status), age (40 and over), religion, national origin, disability, genetic information, retaliation for participating in the EEO process or opposing discrimination. Applicants who believe they have been discriminated against on any EEO basis can seek recourse through the SEC's administrative complaints process. To be timely, an individual must enter the EEO process within 45 days from when they know (or should have known) of the alleged discrimination. Click here for additional information. Read more Benefits
A career with the U.S. government provides employees with a comprehensive benefits package. As a federal employee, you and your family will have access to a range of benefits that are designed to make your federal career very rewarding. Opens in a new window Learn more about federal benefits .
Review our benefits Eligibility for benefits depends on the type of position you hold and whether your position is full-time, part-time or intermittent. Contact the hiring agency for more information on the specific benefits offered. Required Documents
You must provide a complete Application Package, which includes:
Required : Your responses to the Occupational Questionnaire. Required: Your complete and comprehensive resume that includes a complete history of your work experience and the applicable employment dates with months and years. It is recommended that your resume include thetitle, series, and grade (e.g. SK-0301-12) for all relevant Federal experience . To determine if you qualify for this position, OHR will review your work history that is relevant to the specific position for which you applied. If you are a current SEC employee selected for this position, the standard percentage increases will be applied (i.e., 6% for non-supervisory and 10% for supervisory positions) if your selection results in a promotion. If your selection results in lateral movement (i.e. no change in grade) you will maintain your current salary. If your selection results in a change in grade from an SK-15 to an SK-16 you will maintain your current salary.Note: Your resume must directly address the definition of specialized experience listed in the qualification section of this announcement and must NOT contain pictures.
If you are relying on your education to meet qualification requirements:
Education must be accredited by an accrediting institution recognized by the U.S. Department of Education in order for it to be credited towards qualifications. Therefore, provide only the attendance and/or degrees from
schools accredited by accrediting institutions recognized by the U.S. Department of Education .
Failure to provide all of the required information as stated in this vacancy announcement may result in an ineligible rating or may affect the overall rating.
U.S. Securities and Exchange Commission
Washington, DC
Duties
At the Securities and Exchange Commission (SEC), we are committed to diversity, equity, inclusion and accessibility (DEIA) and value a workforce that reflects the diverse experiences and perspectives of the communities we serve. As such, we welcome applications from qualified individuals of all backgrounds who share our commitment to public service.
The Office of Chief Counsel provides advice on law, policy, operations, and ethics to the Director, other senior officials, and examiners across the Division; coordinates with other regulators; reviews proposed legislation and rulemaking; serves as the Division's Enforcement liaison, and serves as a liaison for GAO and OIG investigations and audits of the Division.
As an Attorney-Adviser, you will:
Advise and counsel senior management within the Commission on all matters related to the Office of Chief Counsel arising within the Division of Examinations; Provide written and oral legal and policy advice and guidance to examiners across the Division related to the Securities Exchange Act of 1934, and other securities laws, and relevant administrative law; Review and comment on rulemaking impacting the Division, provide comments to the Division of Trading and Markets, brief senior staff on such rulemaking, and prepare legal guidance and training for the examination program on new rules; Draft, and review public risk alerts intended to highlight deficiencies and other risks that Division staff has identified for regulated entities; and Represent the agency in high level meetings, conferences, and presentations involving a wide range of participants such as regulatory or law enforcement agencies; state, local, national, or international government offices; private industry; and the academic community. Requirements Conditions of Employment CITIZENSHIP: You must be a US Citizen. You must possess a J.D. or LL.B Degree and You must be an active member of the bar in good standing. This position is open to current permanent SEC Employees. Application procedures are specific to this vacancy announcement. Please read all the instructions carefully. Failure to follow the instructions may result in you not being considered for this position. Supplementary vacancies may be filled in addition to the number stated in this announcement. This position has promotion potential to the SK-16 TRIAL PERIOD: This appointment may require completion of a two-year trial period. SECURITY CLEARANCE: Entrance on duty is contingent upon completion of a pre-employment security investigation. Favorable results on a Background Investigation may be a condition of employment or selection to another position. DRUG TESTING: This position may be subjected to drug testing requirements. PERMANENT CHANGE OF STATION (PCS): Moving/Relocation expenses are not authorized. DIRECT DEPOSIT: All Federal employees are required to have Federal salary payments made by direct deposit to a financial institution of their choosing. This position is in the collective bargaining unit. This position is eligible to request telework in accordance with the SEC 's telework policy. Qualifications All qualification requirements must be met by the closing date of this announcement.
Qualifying experience may be obtained in the private or public sector. Experience refers to paid and unpaid experience, including volunteer work done through National Service programs (e.g., Peace Corps, AmeriCorps) and other organizations (e.g., professional; philanthropic; religious; spiritual; community, student, social). Volunteer work helps build critical competencies, knowledge, and skills and can provide valuable training and experience that translates directly to paid employment. You will receive credit for all qualifying experience, including volunteer experience. Qualifying education must have been obtained from an accredited college or university recognized by the U.S. Department of Education. BASIC REQUIREMENT: All applicants must possess the following J.D. or LL.B. degree --AND-- Active membership of the bar in good standing in any state, territory of the United States, the District of Columbia, or the commonwealth of Puerto Rico. (Note: proof of bar membership will be required before entry on duty. MINIMUM QUALIFICATION REQUIREMENT: In addition to meeting the basic requirement, applicants must also meet the minimum qualification requirement. SK-16: Applicant must have one year of specialized experience equivalent to the SK-14 level. Specialized experience includes:
Researching, preparing, and delivering guidance on a variety of complex legal issues arising from interpretation and application of federal securities laws, rules and regulations; AND Representing an organization at briefings, meetings, or conferences; AND Drafting and editing memoranda, filings or other substantive written work product for various audiences on a variety of legal issues. Education FOREIGN EDUCATION: If you are using education completed in foreign colleges or universities to meet the qualification requirements, you must show the education credentials have been evaluated by a private organization that specializes in interpretation of foreign education programs and such education has been deemed equivalent to that gained in an accredited U.S. education program; or full credit has been given for the courses at a U.S. accredited college or university. For further information, visit: http://www.ed.gov/about/offices/list/ous/international/usnei/us/edlite-visitus-forrecog.html Additional information IMPORTANT INFORMATION FOR SURPLUS OR DISPLACED FEDERAL EMPLOYEES: Career Transition Assistance Plan (CTAP) is available to individuals who have special priority selection rights under this plan. Individuals must be minimally qualified for this position to receive consideration for special priority selection. CTAP eligibles will be considered minimally qualified if they meet the minimum requirements for this position. Reasonable Accommodation: If you are an applicant who needs a reasonable accommodation for disability to participate in the application process at the SEC, submit the form for Reasonable Accommodation for Participation in Job Application Process here . Please be sure to submit your request at least 5 business days in advance of the date you need the requested accommodation. Equal Employment Opportunity (EEO) Information for SEC Job Applicants : Federal EEO laws protect all applicants from discrimination on the following bases: race, color, sex (not limited to conduct which is sexual in nature, includes pregnancy, gender identity, sexual orientation, transgender status), age (40 and over), religion, national origin, disability, genetic information, retaliation for participating in the EEO process or opposing discrimination. Applicants who believe they have been discriminated against on any EEO basis can seek recourse through the SEC's administrative complaints process. To be timely, an individual must enter the EEO process within 45 days from when they know (or should have known) of the alleged discrimination. Click here for additional information. Read more Benefits
A career with the U.S. government provides employees with a comprehensive benefits package. As a federal employee, you and your family will have access to a range of benefits that are designed to make your federal career very rewarding. Opens in a new window Learn more about federal benefits .
Review our benefits Eligibility for benefits depends on the type of position you hold and whether your position is full-time, part-time or intermittent. Contact the hiring agency for more information on the specific benefits offered. Required Documents
You must provide a complete Application Package, which includes:
Required : Your responses to the Occupational Questionnaire. Required: Your complete and comprehensive resume that includes a complete history of your work experience and the applicable employment dates with months and years. It is recommended that your resume include thetitle, series, and grade (e.g. SK-0301-12) for all relevant Federal experience . To determine if you qualify for this position, OHR will review your work history that is relevant to the specific position for which you applied. If you are a current SEC employee selected for this position, the standard percentage increases will be applied (i.e., 6% for non-supervisory and 10% for supervisory positions) if your selection results in a promotion. If your selection results in lateral movement (i.e. no change in grade) you will maintain your current salary. If your selection results in a change in grade from an SK-15 to an SK-16 you will maintain your current salary.Note: Your resume must directly address the definition of specialized experience listed in the qualification section of this announcement and must NOT contain pictures.
If you are relying on your education to meet qualification requirements:
Education must be accredited by an accrediting institution recognized by the U.S. Department of Education in order for it to be credited towards qualifications. Therefore, provide only the attendance and/or degrees from
schools accredited by accrediting institutions recognized by the U.S. Department of Education .
Failure to provide all of the required information as stated in this vacancy announcement may result in an ineligible rating or may affect the overall rating.
Full-time
Duties
At the Securities and Exchange Commission (SEC), we are committed to diversity, equity, inclusion and accessibility (DEIA) and value a workforce that reflects the diverse experiences and perspectives of the communities we serve. As such, we welcome applications from qualified individuals of all backgrounds who share our commitment to public service.
The Office of Chief Counsel provides advice on law, policy, operations, and ethics to the Director, other senior officials, and examiners across the Division; coordinates with other regulators; reviews proposed legislation and rulemaking; serves as the Division's Enforcement liaison, and serves as a liaison for GAO and OIG investigations and audits of the Division.
As an Attorney-Adviser, you will:
Advise and counsel senior management within the Commission on all matters related to the Office of Chief Counsel arising within the Division of Examinations; Provide written and oral legal and policy advice and guidance to examiners across the Division related to the Securities Exchange Act of 1934, and other securities laws, and relevant administrative law; Review and comment on rulemaking impacting the Division, provide comments to the Division of Trading and Markets, brief senior staff on such rulemaking, and prepare legal guidance and training for the examination program on new rules; Draft, and review public risk alerts intended to highlight deficiencies and other risks that Division staff has identified for regulated entities; and Represent the agency in high level meetings, conferences, and presentations involving a wide range of participants such as regulatory or law enforcement agencies; state, local, national, or international government offices; private industry; and the academic community. Requirements Conditions of Employment CITIZENSHIP: You must be a US Citizen. You must possess a J.D. or LL.B Degree and You must be an active member of the bar in good standing. This position is open to current permanent SEC Employees. Application procedures are specific to this vacancy announcement. Please read all the instructions carefully. Failure to follow the instructions may result in you not being considered for this position. Supplementary vacancies may be filled in addition to the number stated in this announcement. This position has promotion potential to the SK-16 TRIAL PERIOD: This appointment may require completion of a two-year trial period. SECURITY CLEARANCE: Entrance on duty is contingent upon completion of a pre-employment security investigation. Favorable results on a Background Investigation may be a condition of employment or selection to another position. DRUG TESTING: This position may be subjected to drug testing requirements. PERMANENT CHANGE OF STATION (PCS): Moving/Relocation expenses are not authorized. DIRECT DEPOSIT: All Federal employees are required to have Federal salary payments made by direct deposit to a financial institution of their choosing. This position is in the collective bargaining unit. This position is eligible to request telework in accordance with the SEC 's telework policy. Qualifications All qualification requirements must be met by the closing date of this announcement.
Qualifying experience may be obtained in the private or public sector. Experience refers to paid and unpaid experience, including volunteer work done through National Service programs (e.g., Peace Corps, AmeriCorps) and other organizations (e.g., professional; philanthropic; religious; spiritual; community, student, social). Volunteer work helps build critical competencies, knowledge, and skills and can provide valuable training and experience that translates directly to paid employment. You will receive credit for all qualifying experience, including volunteer experience. Qualifying education must have been obtained from an accredited college or university recognized by the U.S. Department of Education. BASIC REQUIREMENT: All applicants must possess the following J.D. or LL.B. degree --AND-- Active membership of the bar in good standing in any state, territory of the United States, the District of Columbia, or the commonwealth of Puerto Rico. (Note: proof of bar membership will be required before entry on duty. MINIMUM QUALIFICATION REQUIREMENT: In addition to meeting the basic requirement, applicants must also meet the minimum qualification requirement. SK-16: Applicant must have one year of specialized experience equivalent to the SK-14 level. Specialized experience includes:
Researching, preparing, and delivering guidance on a variety of complex legal issues arising from interpretation and application of federal securities laws, rules and regulations; AND Representing an organization at briefings, meetings, or conferences; AND Drafting and editing memoranda, filings or other substantive written work product for various audiences on a variety of legal issues. Education FOREIGN EDUCATION: If you are using education completed in foreign colleges or universities to meet the qualification requirements, you must show the education credentials have been evaluated by a private organization that specializes in interpretation of foreign education programs and such education has been deemed equivalent to that gained in an accredited U.S. education program; or full credit has been given for the courses at a U.S. accredited college or university. For further information, visit: http://www.ed.gov/about/offices/list/ous/international/usnei/us/edlite-visitus-forrecog.html Additional information IMPORTANT INFORMATION FOR SURPLUS OR DISPLACED FEDERAL EMPLOYEES: Career Transition Assistance Plan (CTAP) is available to individuals who have special priority selection rights under this plan. Individuals must be minimally qualified for this position to receive consideration for special priority selection. CTAP eligibles will be considered minimally qualified if they meet the minimum requirements for this position. Reasonable Accommodation: If you are an applicant who needs a reasonable accommodation for disability to participate in the application process at the SEC, submit the form for Reasonable Accommodation for Participation in Job Application Process here . Please be sure to submit your request at least 5 business days in advance of the date you need the requested accommodation. Equal Employment Opportunity (EEO) Information for SEC Job Applicants : Federal EEO laws protect all applicants from discrimination on the following bases: race, color, sex (not limited to conduct which is sexual in nature, includes pregnancy, gender identity, sexual orientation, transgender status), age (40 and over), religion, national origin, disability, genetic information, retaliation for participating in the EEO process or opposing discrimination. Applicants who believe they have been discriminated against on any EEO basis can seek recourse through the SEC's administrative complaints process. To be timely, an individual must enter the EEO process within 45 days from when they know (or should have known) of the alleged discrimination. Click here for additional information. Read more Benefits
A career with the U.S. government provides employees with a comprehensive benefits package. As a federal employee, you and your family will have access to a range of benefits that are designed to make your federal career very rewarding. Opens in a new window Learn more about federal benefits .
Review our benefits Eligibility for benefits depends on the type of position you hold and whether your position is full-time, part-time or intermittent. Contact the hiring agency for more information on the specific benefits offered. Required Documents
You must provide a complete Application Package, which includes:
Required : Your responses to the Occupational Questionnaire. Required: Your complete and comprehensive resume that includes a complete history of your work experience and the applicable employment dates with months and years. It is recommended that your resume include thetitle, series, and grade (e.g. SK-0301-12) for all relevant Federal experience . To determine if you qualify for this position, OHR will review your work history that is relevant to the specific position for which you applied. If you are a current SEC employee selected for this position, the standard percentage increases will be applied (i.e., 6% for non-supervisory and 10% for supervisory positions) if your selection results in a promotion. If your selection results in lateral movement (i.e. no change in grade) you will maintain your current salary. If your selection results in a change in grade from an SK-15 to an SK-16 you will maintain your current salary.Note: Your resume must directly address the definition of specialized experience listed in the qualification section of this announcement and must NOT contain pictures.
If you are relying on your education to meet qualification requirements:
Education must be accredited by an accrediting institution recognized by the U.S. Department of Education in order for it to be credited towards qualifications. Therefore, provide only the attendance and/or degrees from
schools accredited by accrediting institutions recognized by the U.S. Department of Education .
Failure to provide all of the required information as stated in this vacancy announcement may result in an ineligible rating or may affect the overall rating.
Duties
At the Securities and Exchange Commission (SEC), we are committed to diversity, equity, inclusion and accessibility (DEIA) and value a workforce that reflects the diverse experiences and perspectives of the communities we serve. As such, we welcome applications from qualified individuals of all backgrounds who share our commitment to public service.
The mission of the Division of Examinations is to protect investors, ensure market integrity and support responsible capital formation through risk-focused strategies that: (1) improve compliance; (2) prevent fraud; (3) monitor risk; and (4) inform policy. The results of the Division's examinations are used by the SEC to inform rule-making initiatives, identify and monitor risks, improve industry practices and pursue misconduct.
If selected, you will join a well-respected team in the Division that is responsible for providing expert examination guidance and leadership for sensitive and complex programs, issues, and problems dealing with examination or inspection activities for areas of program emphasis such as self-regulatory organizations, broker-dealers, transfer agents, clearing agencies, investment companies, and investment advisers.
As a Supervisory Attorney-Adviser, you will:
Plan and assign work, advise on program goals and objectives, make decisions on work problems, and organize and monitor the flow of work for the assigned programs in order to achieve the most effective results within a complex environment; Direct staff performing extensive and extremely complex inspections or examinations on activities of self-regulatory organizations, broker-dealers, transfer agents, clearing agencies, investment companies, and/or investment advisers, work with the field offices, review reports and recommendations, provide advice on novel questions, analyze industry trends, and follow-up to ensure that recommendations are implemented by the industry; In the capacity of legal adviser and counselor, attend and participate in meetings and conferences where crucial policy formulation, procedural development, and program planning matters are discussed and agency positions developed; Provide executive leadership and management of the staff and work products by maintaining and exhibiting knowledge, insight, and understanding of the assigned specialized segment of the market; monitor new or unchartered marketing or financial techniques and developments that impacts SEC decisions; and Represent the agency in high level meetings, conferences, and presentations involving a wide range of participants such as regulatory or law enforcement agencies; state, local, national, or international government offices; private industry; and the academic community. Requirements Conditions of Employment CITIZENSHIP: You must be a US Citizen. You must possess a J.D. or LL.B Degree and You must be an active member of the bar in good standing. This position is open to current, permanent EXAMS employees. Application procedures are specific to this vacancy announcement. Please read all the instructions carefully. Failure to follow the instructions may result in you not being considered for this position. Supplementary vacancies may be filled in addition to the number stated in this announcement. This position has promotion potential to the SK-17. SUPERVISORY TRIAL PERIOD: This appointment may require completion of a two-year supervisory trial period. SECURITY CLEARANCE: Entrance on duty is contingent upon completion of a pre-employment security investigation. Favorable results on a Background Investigation may be a condition of employment or selection to another position. DRUG TESTING: This position may be subjected to drug testing requirements. PERMANENT CHANGE OF STATION (PCS): Moving/Relocation expenses are not authorized. DIRECT DEPOSIT: All Federal employees are required to have Federal salary payments made by direct deposit to a financial institution of their choosing. This position is not in the BU in the collective bargaining unit. This position is eligible to request telework in accordance with the SEC 's telework policy. Qualifications All qualification requirements must be met by the closing date of this announcement.
Qualifying experience may be obtained in the private or public sector. Experience refers to paid and unpaid experience, including volunteer work done through National Service programs (e.g., Peace Corps, AmeriCorps) and other organizations (e.g., professional; philanthropic; religious; spiritual; community, student, social). Volunteer work helps build critical competencies, knowledge, and skills and can provide valuable training and experience that translates directly to paid employment. You will receive credit for all qualifying experience, including volunteer experience. Qualifying education must have been obtained from an accredited college or university recognized by the U.S. Department of Education. BASIC REQUIREMENT: All applicants must possess the following J.D. or LL.B. degree --AND-- Active membership of the bar in good standing in any state, territory of the United States, the District of Columbia, or the commonwealth of Puerto Rico. (Note: proof of bar membership will be required before entry on duty. MINIMUM QUALIFICATION REQUIREMENT: In addition to meeting the basic requirement, applicants must also meet the minimum qualification requirement. SK-17: Applicant must have one year of specialized experience equivalent to the GS/SK-14 level. Specialized experience includes: Interpreting and applying federal securities laws, rules and regulations; AND Leading teams of staff with varying backgrounds (e.g., legal, accounting, examining); AND Representing an organization at briefings, meetings, or conferences; AND Conducting compliance inspections, examinations, investigations, or audits of broker-dealers, clearing agencies, transfer agents, municipal advisers, investment advisers, investment companies and/or other self-regulatory organizations Education FOREIGN EDUCATION: If you are using education completed in foreign colleges or universities to meet the qualification requirements, you must show the education credentials have been evaluated by a private organization that specializes in interpretation of foreign education programs and such education has been deemed equivalent to that gained in an accredited U.S. education program; or full credit has been given for the courses at a U.S. accredited college or university. For further information, visit: http://www.ed.gov/about/offices/list/ous/international/usnei/us/edlite-visitus-forrecog.html Additional information IMPORTANT INFORMATION FOR SURPLUS OR DISPLACED FEDERAL EMPLOYEES: Career Transition Assistance Plan (CTAP) is available to individuals who have special priority selection rights under this plan. Individuals must be minimally qualified for this position to receive consideration for special priority selection. CTAP eligibles will be considered minimally qualified if they meet the minimum requirements for this position. Reasonable Accommodation: If you are an applicant who needs a reasonable accommodation for disability to participate in the application process at the SEC, submit the form for Reasonable Accommodation for Participation in Job Application Process here . Please be sure to submit your request at least 5 business days in advance of the date you need the requested accommodation. Equal Employment Opportunity (EEO) Information for SEC Job Applicants : Federal EEO laws protect all applicants from discrimination on the following bases: race, color, sex (not limited to conduct which is sexual in nature, includes pregnancy, gender identity, sexual orientation, transgender status), age (40 and over), religion, national origin, disability, genetic information, retaliation for participating in the EEO process or opposing discrimination. Applicants who believe they have been discriminated against on any EEO basis can seek recourse through the SEC's administrative complaints process. To be timely, an individual must enter the EEO process within 45 days from when they know (or should have known) of the alleged discrimination. Click here for additional information. Read more Benefits
A career with the U.S. government provides employees with a comprehensive benefits package. As a federal employee, you and your family will have access to a range of benefits that are designed to make your federal career very rewarding. Opens in a new window Learn more about federal benefits .
Review our benefits Eligibility for benefits depends on the type of position you hold and whether your position is full-time, part-time or intermittent. Contact the hiring agency for more information on the specific benefits offered. Required Documents
You must provide a complete Application Package, which includes:
Required : Your responses to the Occupational Questionnaire. Required: Your complete and comprehensive resume that includes a complete history of your work experience and the applicable employment dates with months and years. It is recommended that your resume include thetitle, series, and grade (e.g. SK-0301-12) for all relevant Federal experience . To determine if you qualify for this position, OHR will review your work history that is relevant to the specific position for which you applied. If you are a current SEC employee selected for this position, the standard percentage increases will be applied (i.e., 6% for non-supervisory and 10% for supervisory positions) if your selection results in a promotion. If your selection results in lateral movement (i.e. no change in grade) you will maintain your current salary. If your selection results in a change in grade from an SK-15 to an SK-16 you will maintain your current salary.Note: Your resume must directly address the definition of specialized experience listed in the qualification section of this announcement and must NOT contain pictures.
If you are relying on your education to meet qualification requirements:
Education must be accredited by an accrediting institution recognized by the U.S. Department of Education in order for it to be credited towards qualifications. Therefore, provide only the attendance and/or degrees from
schools accredited by accrediting institutions recognized by the U.S. Department of Education .
Failure to provide all of the required information as stated in this vacancy announcement may result in an ineligible rating or may affect the overall rating.
Full-time
Duties
At the Securities and Exchange Commission (SEC), we are committed to diversity, equity, inclusion and accessibility (DEIA) and value a workforce that reflects the diverse experiences and perspectives of the communities we serve. As such, we welcome applications from qualified individuals of all backgrounds who share our commitment to public service.
The mission of the Division of Examinations is to protect investors, ensure market integrity and support responsible capital formation through risk-focused strategies that: (1) improve compliance; (2) prevent fraud; (3) monitor risk; and (4) inform policy. The results of the Division's examinations are used by the SEC to inform rule-making initiatives, identify and monitor risks, improve industry practices and pursue misconduct.
If selected, you will join a well-respected team in the Division that is responsible for providing expert examination guidance and leadership for sensitive and complex programs, issues, and problems dealing with examination or inspection activities for areas of program emphasis such as self-regulatory organizations, broker-dealers, transfer agents, clearing agencies, investment companies, and investment advisers.
As a Supervisory Attorney-Adviser, you will:
Plan and assign work, advise on program goals and objectives, make decisions on work problems, and organize and monitor the flow of work for the assigned programs in order to achieve the most effective results within a complex environment; Direct staff performing extensive and extremely complex inspections or examinations on activities of self-regulatory organizations, broker-dealers, transfer agents, clearing agencies, investment companies, and/or investment advisers, work with the field offices, review reports and recommendations, provide advice on novel questions, analyze industry trends, and follow-up to ensure that recommendations are implemented by the industry; In the capacity of legal adviser and counselor, attend and participate in meetings and conferences where crucial policy formulation, procedural development, and program planning matters are discussed and agency positions developed; Provide executive leadership and management of the staff and work products by maintaining and exhibiting knowledge, insight, and understanding of the assigned specialized segment of the market; monitor new or unchartered marketing or financial techniques and developments that impacts SEC decisions; and Represent the agency in high level meetings, conferences, and presentations involving a wide range of participants such as regulatory or law enforcement agencies; state, local, national, or international government offices; private industry; and the academic community. Requirements Conditions of Employment CITIZENSHIP: You must be a US Citizen. You must possess a J.D. or LL.B Degree and You must be an active member of the bar in good standing. This position is open to current, permanent EXAMS employees. Application procedures are specific to this vacancy announcement. Please read all the instructions carefully. Failure to follow the instructions may result in you not being considered for this position. Supplementary vacancies may be filled in addition to the number stated in this announcement. This position has promotion potential to the SK-17. SUPERVISORY TRIAL PERIOD: This appointment may require completion of a two-year supervisory trial period. SECURITY CLEARANCE: Entrance on duty is contingent upon completion of a pre-employment security investigation. Favorable results on a Background Investigation may be a condition of employment or selection to another position. DRUG TESTING: This position may be subjected to drug testing requirements. PERMANENT CHANGE OF STATION (PCS): Moving/Relocation expenses are not authorized. DIRECT DEPOSIT: All Federal employees are required to have Federal salary payments made by direct deposit to a financial institution of their choosing. This position is not in the BU in the collective bargaining unit. This position is eligible to request telework in accordance with the SEC 's telework policy. Qualifications All qualification requirements must be met by the closing date of this announcement.
Qualifying experience may be obtained in the private or public sector. Experience refers to paid and unpaid experience, including volunteer work done through National Service programs (e.g., Peace Corps, AmeriCorps) and other organizations (e.g., professional; philanthropic; religious; spiritual; community, student, social). Volunteer work helps build critical competencies, knowledge, and skills and can provide valuable training and experience that translates directly to paid employment. You will receive credit for all qualifying experience, including volunteer experience. Qualifying education must have been obtained from an accredited college or university recognized by the U.S. Department of Education. BASIC REQUIREMENT: All applicants must possess the following J.D. or LL.B. degree --AND-- Active membership of the bar in good standing in any state, territory of the United States, the District of Columbia, or the commonwealth of Puerto Rico. (Note: proof of bar membership will be required before entry on duty. MINIMUM QUALIFICATION REQUIREMENT: In addition to meeting the basic requirement, applicants must also meet the minimum qualification requirement. SK-17: Applicant must have one year of specialized experience equivalent to the GS/SK-14 level. Specialized experience includes: Interpreting and applying federal securities laws, rules and regulations; AND Leading teams of staff with varying backgrounds (e.g., legal, accounting, examining); AND Representing an organization at briefings, meetings, or conferences; AND Conducting compliance inspections, examinations, investigations, or audits of broker-dealers, clearing agencies, transfer agents, municipal advisers, investment advisers, investment companies and/or other self-regulatory organizations Education FOREIGN EDUCATION: If you are using education completed in foreign colleges or universities to meet the qualification requirements, you must show the education credentials have been evaluated by a private organization that specializes in interpretation of foreign education programs and such education has been deemed equivalent to that gained in an accredited U.S. education program; or full credit has been given for the courses at a U.S. accredited college or university. For further information, visit: http://www.ed.gov/about/offices/list/ous/international/usnei/us/edlite-visitus-forrecog.html Additional information IMPORTANT INFORMATION FOR SURPLUS OR DISPLACED FEDERAL EMPLOYEES: Career Transition Assistance Plan (CTAP) is available to individuals who have special priority selection rights under this plan. Individuals must be minimally qualified for this position to receive consideration for special priority selection. CTAP eligibles will be considered minimally qualified if they meet the minimum requirements for this position. Reasonable Accommodation: If you are an applicant who needs a reasonable accommodation for disability to participate in the application process at the SEC, submit the form for Reasonable Accommodation for Participation in Job Application Process here . Please be sure to submit your request at least 5 business days in advance of the date you need the requested accommodation. Equal Employment Opportunity (EEO) Information for SEC Job Applicants : Federal EEO laws protect all applicants from discrimination on the following bases: race, color, sex (not limited to conduct which is sexual in nature, includes pregnancy, gender identity, sexual orientation, transgender status), age (40 and over), religion, national origin, disability, genetic information, retaliation for participating in the EEO process or opposing discrimination. Applicants who believe they have been discriminated against on any EEO basis can seek recourse through the SEC's administrative complaints process. To be timely, an individual must enter the EEO process within 45 days from when they know (or should have known) of the alleged discrimination. Click here for additional information. Read more Benefits
A career with the U.S. government provides employees with a comprehensive benefits package. As a federal employee, you and your family will have access to a range of benefits that are designed to make your federal career very rewarding. Opens in a new window Learn more about federal benefits .
Review our benefits Eligibility for benefits depends on the type of position you hold and whether your position is full-time, part-time or intermittent. Contact the hiring agency for more information on the specific benefits offered. Required Documents
You must provide a complete Application Package, which includes:
Required : Your responses to the Occupational Questionnaire. Required: Your complete and comprehensive resume that includes a complete history of your work experience and the applicable employment dates with months and years. It is recommended that your resume include thetitle, series, and grade (e.g. SK-0301-12) for all relevant Federal experience . To determine if you qualify for this position, OHR will review your work history that is relevant to the specific position for which you applied. If you are a current SEC employee selected for this position, the standard percentage increases will be applied (i.e., 6% for non-supervisory and 10% for supervisory positions) if your selection results in a promotion. If your selection results in lateral movement (i.e. no change in grade) you will maintain your current salary. If your selection results in a change in grade from an SK-15 to an SK-16 you will maintain your current salary.Note: Your resume must directly address the definition of specialized experience listed in the qualification section of this announcement and must NOT contain pictures.
If you are relying on your education to meet qualification requirements:
Education must be accredited by an accrediting institution recognized by the U.S. Department of Education in order for it to be credited towards qualifications. Therefore, provide only the attendance and/or degrees from
schools accredited by accrediting institutions recognized by the U.S. Department of Education .
Failure to provide all of the required information as stated in this vacancy announcement may result in an ineligible rating or may affect the overall rating.
Duties
At the Securities and Exchange Commission (SEC), we are committed to diversity, equity, inclusion and accessibility (DEIA) and value a workforce that reflects the diverse experiences and perspectives of the communities we serve. As such, we welcome applications from qualified individuals of all backgrounds who share our commitment to public service.
The mission of the Division of Examinations is to protect investors, ensure market integrity and support responsible capital formation through risk-focused strategies that: (1) improve compliance; (2) prevent fraud; (3) monitor risk; and (4) inform policy. The results of the Division's examinations are used by the SEC to inform rule-making initiatives, identify and monitor risks, improve industry practices and pursue misconduct.
If selected, you will join a well-respected team in the Division that is responsible for providing expert examination guidance and leadership for sensitive and complex programs, issues, and problems dealing with examination or inspection activities for areas of program emphasis such as self-regulatory organizations, broker-dealers, transfer agents, clearing agencies, investment companies, and investment advisers.
As a Supervisory Securities Compliance Examiner, you will:
Plan and assign work, advise on program goals and objectives, make decisions on work problems, and organize and monitor the flow of work for the assigned programs in order to achieve the most effective results within a complex environment; Direct staff performing extensive and extremely complex inspections or examinations on activities of self-regulatory organizations, broker-dealers, transfer agents, clearing agencies, investment companies, and/or investment advisers, working with the field offices, reviewing reports and recommendations; provide advice on novel questions, analyzing industry trends, and following-up to ensure that recommendations are implemented by the industry; Attend and participate in meetings and conferences where crucial policy formulation, procedural development, and program planning matters are discussed and agency positions developed; Provide executive leadership and management of the staff and work products by maintaining and exhibiting knowledge, insight, and understanding of the assigned specialized segment of the market; monitoring new or unchartered marketing or financial techniques and developments that impacts SEC decisions; and Represent the agency in high level meetings, conferences, and presentations involving a wide range of participants such as regulatory or law enforcement agencies; state, local, national, or international government offices; private industry; and the academic community. Requirements Conditions of Employment You must be a US Citizen. Application procedures are specific to this vacancy announcement. Please read all the instructions carefully. Failure to follow the instructions may result in you not being considered for this position. Supplementary vacancies may be filled in addition to the number stated in this announcement. This position has promotion potential to the SK-17. SUPERVISORY PROBATIONARY PERIOD: This appointment may require completion of a two-year supervisory probationary period. SECURITY CLEARANCE: Entrance on duty is contingent upon completion of a pre-employment security investigation. Favorable results on a Background Investigation may be a condition of employment or selection to another position. DRUG TESTING: This position may be subjected to drug testing requirements. PERMANENT CHANGE OF STATION (PCS): Moving/Relocation expenses are not authorized. DIRECT DEPOSIT: All Federal employees are required to have Federal salary payments made by direct deposit to a financial institution of their choosing. This position is not in the collective bargaining unit. This position is eligible to request telework in accordance with the SEC 's telework policy. Typical Examiner Travel: Examination staff routinely travel to the offices of registered entities to conduct on-site inspections of facilities, to meet with and interview entity personnel, and to examine certain business records. Qualifications All qualification requirements must be met by the closing date of this announcement.
Time-in-grade for this announcement is one year at the GS/SK-14 level.
Qualifying experience may be obtained in the private or public sector. Experience refers to paid and unpaid experience, including volunteer work done through National Service programs (e.g., Peace Corps, AmeriCorps) and other organizations (e.g., professional; philanthropic; religious; spiritual; community, student, social). Volunteer work helps build critical competencies, knowledge, and skills and can provide valuable training and experience that translates directly to paid employment. You will receive credit for all qualifying experience, including volunteer experience. MINIMUM QUALIFICATION REQUIREMENT :
SK-17: Applicant must 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 and/or other self-regulatory organizations; AND Leading teams of staff with varying backgrounds (e.g., legal, accounting, examining); AND Identifying emerging risks and issues affecting financial institutions. Education
This job does not have an education qualification requirement.
Additional information Disability Employment: For information on disability appointments, please visit http://www.opm.gov/policy-data-oversight/disability-employment/ IMPORTANT INFORMATION FOR SURPLUS OR DISPLACED FEDERAL EMPLOYEES: Career Transition Assistance Plan (CTAP) is available to individuals who have special priority selection rights under this plan. Individuals must be well-qualified for this position to receive consideration for special priority selection. CTAP eligibles will be considered well-qualified when receiving an adjudicated score of 80 or higher. Reasonable Accommodation: If you are an applicant who needs a reasonable accommodation for disability to participate in the application process at the SEC, submit the form for Reasonable Accommodation for Participation in Job Application Process here . Please be sure to submit your request at least 5 business days in advance of the date you need the requested accommodation. Equal Employment Opportunity (EEO) Information for SEC Job Applicants: Federal EEO laws protect all applicants from discrimination on the following bases: race, color, sex (not limited to conduct which is sexual in nature, includes pregnancy, gender identity, sexual orientation, transgender status), age (40 and over), religion, national origin, disability, genetic information, retaliation for participating in the EEO process or opposing discrimination. Applicants who believe they have been discriminated against on any EEO basis can seek recourse through the SEC's administrative complaints process. To be timely, an individual must enter the EEO process within 45 days from when they know (or should have known) of the alleged discrimination. Click here for additional information. Read more Benefits
A career with the U.S. government provides employees with a comprehensive benefits package. As a federal employee, you and your family will have access to a range of benefits that are designed to make your federal career very rewarding. Opens in a new window Learn more about federal benefits .
Review our benefits Eligibility for benefits depends on the type of position you hold and whether your position is full-time, part-time or intermittent. Contact the hiring agency for more information on the specific benefits offered. Required Documents
You must provide a complete Application Package, which includes:
Required : Your responses to the Online Assessment Questionnaire. Required: Your complete and comprehensive resume that includes a complete history of your work experience and the applicable employment dates with months and years. It is recommended that your resume include thetitle, series, and grade (e.g. SK-0301-12) for all relevant Federal experience . To determine if you qualify for this position, OHR will review your work history that is relevant to the specific position for which you applied. If you are a current SEC employee selected for this position, the standard percentage increases will be applied (i.e., 6% for non-supervisory and 10% for supervisory positions) if your selection results in a promotion. If your selection results in lateral movement (i.e. no change in grade) you will maintain your current salary. If your selection results in a change in grade from an SK-15 to an SK-16 you will maintain your current salary.Note: Your resume must directly address the definition of specialized experience listed in the qualification section of this announcement and must NOT contain pictures. Required, if applicable : CTAP documentation (a copy of a separation notice or other proof of eligibility for priority selection; a copy of an SF-50, Notification of Personnel Action, showing current position, grade, promotion potential, and duty location; AND a copy of your most recent performance appraisal.) *SEC EMPLOYEES : OHR will verify your competitive service eligibility via the SEC's personnel database.
Full-time
Duties
At the Securities and Exchange Commission (SEC), we are committed to diversity, equity, inclusion and accessibility (DEIA) and value a workforce that reflects the diverse experiences and perspectives of the communities we serve. As such, we welcome applications from qualified individuals of all backgrounds who share our commitment to public service.
The mission of the Division of Examinations is to protect investors, ensure market integrity and support responsible capital formation through risk-focused strategies that: (1) improve compliance; (2) prevent fraud; (3) monitor risk; and (4) inform policy. The results of the Division's examinations are used by the SEC to inform rule-making initiatives, identify and monitor risks, improve industry practices and pursue misconduct.
If selected, you will join a well-respected team in the Division that is responsible for providing expert examination guidance and leadership for sensitive and complex programs, issues, and problems dealing with examination or inspection activities for areas of program emphasis such as self-regulatory organizations, broker-dealers, transfer agents, clearing agencies, investment companies, and investment advisers.
As a Supervisory Securities Compliance Examiner, you will:
Plan and assign work, advise on program goals and objectives, make decisions on work problems, and organize and monitor the flow of work for the assigned programs in order to achieve the most effective results within a complex environment; Direct staff performing extensive and extremely complex inspections or examinations on activities of self-regulatory organizations, broker-dealers, transfer agents, clearing agencies, investment companies, and/or investment advisers, working with the field offices, reviewing reports and recommendations; provide advice on novel questions, analyzing industry trends, and following-up to ensure that recommendations are implemented by the industry; Attend and participate in meetings and conferences where crucial policy formulation, procedural development, and program planning matters are discussed and agency positions developed; Provide executive leadership and management of the staff and work products by maintaining and exhibiting knowledge, insight, and understanding of the assigned specialized segment of the market; monitoring new or unchartered marketing or financial techniques and developments that impacts SEC decisions; and Represent the agency in high level meetings, conferences, and presentations involving a wide range of participants such as regulatory or law enforcement agencies; state, local, national, or international government offices; private industry; and the academic community. Requirements Conditions of Employment You must be a US Citizen. Application procedures are specific to this vacancy announcement. Please read all the instructions carefully. Failure to follow the instructions may result in you not being considered for this position. Supplementary vacancies may be filled in addition to the number stated in this announcement. This position has promotion potential to the SK-17. SUPERVISORY PROBATIONARY PERIOD: This appointment may require completion of a two-year supervisory probationary period. SECURITY CLEARANCE: Entrance on duty is contingent upon completion of a pre-employment security investigation. Favorable results on a Background Investigation may be a condition of employment or selection to another position. DRUG TESTING: This position may be subjected to drug testing requirements. PERMANENT CHANGE OF STATION (PCS): Moving/Relocation expenses are not authorized. DIRECT DEPOSIT: All Federal employees are required to have Federal salary payments made by direct deposit to a financial institution of their choosing. This position is not in the collective bargaining unit. This position is eligible to request telework in accordance with the SEC 's telework policy. Typical Examiner Travel: Examination staff routinely travel to the offices of registered entities to conduct on-site inspections of facilities, to meet with and interview entity personnel, and to examine certain business records. Qualifications All qualification requirements must be met by the closing date of this announcement.
Time-in-grade for this announcement is one year at the GS/SK-14 level.
Qualifying experience may be obtained in the private or public sector. Experience refers to paid and unpaid experience, including volunteer work done through National Service programs (e.g., Peace Corps, AmeriCorps) and other organizations (e.g., professional; philanthropic; religious; spiritual; community, student, social). Volunteer work helps build critical competencies, knowledge, and skills and can provide valuable training and experience that translates directly to paid employment. You will receive credit for all qualifying experience, including volunteer experience. MINIMUM QUALIFICATION REQUIREMENT :
SK-17: Applicant must 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 and/or other self-regulatory organizations; AND Leading teams of staff with varying backgrounds (e.g., legal, accounting, examining); AND Identifying emerging risks and issues affecting financial institutions. Education
This job does not have an education qualification requirement.
Additional information Disability Employment: For information on disability appointments, please visit http://www.opm.gov/policy-data-oversight/disability-employment/ IMPORTANT INFORMATION FOR SURPLUS OR DISPLACED FEDERAL EMPLOYEES: Career Transition Assistance Plan (CTAP) is available to individuals who have special priority selection rights under this plan. Individuals must be well-qualified for this position to receive consideration for special priority selection. CTAP eligibles will be considered well-qualified when receiving an adjudicated score of 80 or higher. Reasonable Accommodation: If you are an applicant who needs a reasonable accommodation for disability to participate in the application process at the SEC, submit the form for Reasonable Accommodation for Participation in Job Application Process here . Please be sure to submit your request at least 5 business days in advance of the date you need the requested accommodation. Equal Employment Opportunity (EEO) Information for SEC Job Applicants: Federal EEO laws protect all applicants from discrimination on the following bases: race, color, sex (not limited to conduct which is sexual in nature, includes pregnancy, gender identity, sexual orientation, transgender status), age (40 and over), religion, national origin, disability, genetic information, retaliation for participating in the EEO process or opposing discrimination. Applicants who believe they have been discriminated against on any EEO basis can seek recourse through the SEC's administrative complaints process. To be timely, an individual must enter the EEO process within 45 days from when they know (or should have known) of the alleged discrimination. Click here for additional information. Read more Benefits
A career with the U.S. government provides employees with a comprehensive benefits package. As a federal employee, you and your family will have access to a range of benefits that are designed to make your federal career very rewarding. Opens in a new window Learn more about federal benefits .
Review our benefits Eligibility for benefits depends on the type of position you hold and whether your position is full-time, part-time or intermittent. Contact the hiring agency for more information on the specific benefits offered. Required Documents
You must provide a complete Application Package, which includes:
Required : Your responses to the Online Assessment Questionnaire. Required: Your complete and comprehensive resume that includes a complete history of your work experience and the applicable employment dates with months and years. It is recommended that your resume include thetitle, series, and grade (e.g. SK-0301-12) for all relevant Federal experience . To determine if you qualify for this position, OHR will review your work history that is relevant to the specific position for which you applied. If you are a current SEC employee selected for this position, the standard percentage increases will be applied (i.e., 6% for non-supervisory and 10% for supervisory positions) if your selection results in a promotion. If your selection results in lateral movement (i.e. no change in grade) you will maintain your current salary. If your selection results in a change in grade from an SK-15 to an SK-16 you will maintain your current salary.Note: Your resume must directly address the definition of specialized experience listed in the qualification section of this announcement and must NOT contain pictures. Required, if applicable : CTAP documentation (a copy of a separation notice or other proof of eligibility for priority selection; a copy of an SF-50, Notification of Personnel Action, showing current position, grade, promotion potential, and duty location; AND a copy of your most recent performance appraisal.) *SEC EMPLOYEES : OHR will verify your competitive service eligibility via the SEC's personnel database.
U.S. Securities and Exchange Commission
Washington, DC
Duties
At the Securities and Exchange Commission (SEC), we are committed to diversity, equity, inclusion and accessibility (DEIA) and value a workforce that reflects the diverse experiences and perspectives of the communities we serve. As such, we welcome applications from qualified individuals of all backgrounds who share our commitment to public service.
The mission of the Division of Examinations is to protect investors, ensure market integrity and support responsible capital formation through risk-focused strategies that: (1) improve compliance; (2) prevent fraud; (3) monitor risk; and (4) inform policy. The results of the Division's examinations are used by the SEC to inform rule-making initiatives, identify and monitor risks, improve industry practices and pursue misconduct.
If selected, you will join a well-respected team in the Division that is responsible for providing expert examination guidance and leadership for sensitive and complex programs, issues, and problems dealing with examination or inspection activities for areas of program emphasis such as broker-dealers, municipal advisors, transfer agents, self-regulatory organizations, and funding portals.
As a Supervisory Securities Compliance Examiner, you will:
Plan and assign work, advising on program goals and objectives, making decisions on work problems, and organizing and monitoring the flow of work for the assigned programs in order to achieve the most effective results within a complex environment; Direct staff performing extensive and extremely complex inspections or examinations, working with the field offices, reviewing reports and recommendations; Provide advice on novel questions, analyzing industry trends, and following-up to ensure that recommendations are implemented by the industry; Attend and participate in meetings and conferences where crucial policy formulation, procedural development, and program planning matters are discussed and agency positions developed; Provide executive leadership and management of the staff and work products by maintaining and exhibiting knowledge, insight, and understanding of the assigned specialized segment of the market; monitoring new or unchartered marketing or financial techniques and developments that impacts SEC decisions; and Represent the agency in high level meetings, conferences, and presentations involving a wide range of participants such as regulatory or law enforcement agencies; state, local, national, or international government offices; private industry; and the academic community. Requirements Conditions of Employment You must be a US Citizen. Application procedures are specific to this vacancy announcement. Please read all the instructions carefully. Failure to follow the instructions may result in you not being considered for this position. Supplementary vacancies may be filled in addition to the number stated in this announcement. This position has promotion potential to the SK-17. SUPERVISORY PROBATIONARY PERIOD: This appointment may require completion of a two-year supervisory probationary period. SECURITY CLEARANCE: Entrance on duty is contingent upon completion of a pre-employment security investigation. Favorable results on a Background Investigation may be a condition of employment or selection to another position. DRUG TESTING: This position may be subjected to drug testing requirements. PERMANENT CHANGE OF STATION (PCS): Moving/Relocation expenses are not authorized. DIRECT DEPOSIT: All Federal employees are required to have Federal salary payments made by direct deposit to a financial institution of their choosing. This position is not in the collective bargaining unit. This position is eligible to request telework in accordance with the SEC 's telework policy. Typical Examiner Travel: Examination staff routinely travel to the offices of registered entities to conduct on-site inspections of facilities, to meet with and interview entity personnel, and to examine certain business records. Qualifications All qualification requirements must be met by the closing date of this announcement.
Time-in-grade for this announcement is one year at the GS/SK-14 level.
Qualifying experience may be obtained in the private or public sector. Experience refers to paid and unpaid experience, including volunteer work done through National Service programs (e.g., Peace Corps, AmeriCorps) and other organizations (e.g., professional; philanthropic; religious; spiritual; community, student, social). Volunteer work helps build critical competencies, knowledge, and skills and can provide valuable training and experience that translates directly to paid employment. You will receive credit for all qualifying experience, including volunteer experience. Qualifying education must have been obtained from an accredited college or university recognized by the U.S. Department of Education. MINIMUM QUALIFICATION REQUIREMENT :
SK-17: Applicant must 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 and/or other self-regulatory organizations; AND Leading teams of staff with varying backgrounds (e.g., legal, accounting, examining) AND Identifying emerging risks and issues affecting financial institutions. Education
This job does not have an education qualification requirement.
Additional information Disability Employment: For information on disability appointments, please visit http://www.opm.gov/policy-data-oversight/disability-employment/ IMPORTANT INFORMATION FOR SURPLUS OR DISPLACED FEDERAL EMPLOYEES: Career Transition Assistance Plan (CTAP) is available to individuals who have special priority selection rights under this plan. Individuals must be well-qualified for this position to receive consideration for special priority selection. CTAP eligibles will be considered well-qualified when receiving an adjudicated score of 80 or higher. Reasonable Accommodation: If you are an applicant who needs a reasonable accommodation for disability to participate in the application process at the SEC, submit the form for Reasonable Accommodation for Participation in Job Application Process here . Please be sure to submit your request at least 5 business days in advance of the date you need the requested accommodation. Equal Employment Opportunity (EEO) Information for SEC Job Applicants: Federal EEO laws protect all applicants from discrimination on the following bases: race, color, sex (not limited to conduct which is sexual in nature, includes pregnancy, gender identity, sexual orientation, transgender status), age (40 and over), religion, national origin, disability, genetic information, retaliation for participating in the EEO process or opposing discrimination. Applicants who believe they have been discriminated against on any EEO basis can seek recourse through the SEC's administrative complaints process. To be timely, an individual must enter the EEO process within 45 days from when they know (or should have known) of the alleged discrimination. Click here for additional information. Read more Benefits
A career with the U.S. government provides employees with a comprehensive benefits package. As a federal employee, you and your family will have access to a range of benefits that are designed to make your federal career very rewarding. Opens in a new window Learn more about federal benefits .
Review our benefits Eligibility for benefits depends on the type of position you hold and whether your position is full-time, part-time or intermittent. Contact the hiring agency for more information on the specific benefits offered. Required Documents
You must provide a complete Application Package, which includes:
Required : Your responses to the Online Assessment Questionnaire. Required: Your complete and comprehensive resume that includes a complete history of your work experience and the applicable employment dates with months and years. It is recommended that your resume include thetitle, series, and grade (e.g. SK-0301-12) for all relevant Federal experience . To determine if you qualify for this position, OHR will review your work history that is relevant to the specific position for which you applied. If you are a current SEC employee selected for this position, the standard percentage increases will be applied (i.e., 6% for non-supervisory and 10% for supervisory positions) if your selection results in a promotion. If your selection results in lateral movement (i.e. no change in grade) you will maintain your current salary. If your selection results in a change in grade from an SK-15 to an SK-16 you will maintain your current salary.Note: Your resume must directly address the definition of specialized experience listed in the qualification section of this announcement and must NOT contain pictures. Required, if applicable : CTAP documentation (a copy of a separation notice or other proof of eligibility for priority selection; a copy of an SF-50, Notification of Personnel Action, showing current position, grade, promotion potential, and duty location; AND a copy of your most recent performance appraisal.) *SEC EMPLOYEES : OHR will verify your competitive service eligibility via the SEC's personnel database.
Full-time
Duties
At the Securities and Exchange Commission (SEC), we are committed to diversity, equity, inclusion and accessibility (DEIA) and value a workforce that reflects the diverse experiences and perspectives of the communities we serve. As such, we welcome applications from qualified individuals of all backgrounds who share our commitment to public service.
The mission of the Division of Examinations is to protect investors, ensure market integrity and support responsible capital formation through risk-focused strategies that: (1) improve compliance; (2) prevent fraud; (3) monitor risk; and (4) inform policy. The results of the Division's examinations are used by the SEC to inform rule-making initiatives, identify and monitor risks, improve industry practices and pursue misconduct.
If selected, you will join a well-respected team in the Division that is responsible for providing expert examination guidance and leadership for sensitive and complex programs, issues, and problems dealing with examination or inspection activities for areas of program emphasis such as broker-dealers, municipal advisors, transfer agents, self-regulatory organizations, and funding portals.
As a Supervisory Securities Compliance Examiner, you will:
Plan and assign work, advising on program goals and objectives, making decisions on work problems, and organizing and monitoring the flow of work for the assigned programs in order to achieve the most effective results within a complex environment; Direct staff performing extensive and extremely complex inspections or examinations, working with the field offices, reviewing reports and recommendations; Provide advice on novel questions, analyzing industry trends, and following-up to ensure that recommendations are implemented by the industry; Attend and participate in meetings and conferences where crucial policy formulation, procedural development, and program planning matters are discussed and agency positions developed; Provide executive leadership and management of the staff and work products by maintaining and exhibiting knowledge, insight, and understanding of the assigned specialized segment of the market; monitoring new or unchartered marketing or financial techniques and developments that impacts SEC decisions; and Represent the agency in high level meetings, conferences, and presentations involving a wide range of participants such as regulatory or law enforcement agencies; state, local, national, or international government offices; private industry; and the academic community. Requirements Conditions of Employment You must be a US Citizen. Application procedures are specific to this vacancy announcement. Please read all the instructions carefully. Failure to follow the instructions may result in you not being considered for this position. Supplementary vacancies may be filled in addition to the number stated in this announcement. This position has promotion potential to the SK-17. SUPERVISORY PROBATIONARY PERIOD: This appointment may require completion of a two-year supervisory probationary period. SECURITY CLEARANCE: Entrance on duty is contingent upon completion of a pre-employment security investigation. Favorable results on a Background Investigation may be a condition of employment or selection to another position. DRUG TESTING: This position may be subjected to drug testing requirements. PERMANENT CHANGE OF STATION (PCS): Moving/Relocation expenses are not authorized. DIRECT DEPOSIT: All Federal employees are required to have Federal salary payments made by direct deposit to a financial institution of their choosing. This position is not in the collective bargaining unit. This position is eligible to request telework in accordance with the SEC 's telework policy. Typical Examiner Travel: Examination staff routinely travel to the offices of registered entities to conduct on-site inspections of facilities, to meet with and interview entity personnel, and to examine certain business records. Qualifications All qualification requirements must be met by the closing date of this announcement.
Time-in-grade for this announcement is one year at the GS/SK-14 level.
Qualifying experience may be obtained in the private or public sector. Experience refers to paid and unpaid experience, including volunteer work done through National Service programs (e.g., Peace Corps, AmeriCorps) and other organizations (e.g., professional; philanthropic; religious; spiritual; community, student, social). Volunteer work helps build critical competencies, knowledge, and skills and can provide valuable training and experience that translates directly to paid employment. You will receive credit for all qualifying experience, including volunteer experience. Qualifying education must have been obtained from an accredited college or university recognized by the U.S. Department of Education. MINIMUM QUALIFICATION REQUIREMENT :
SK-17: Applicant must 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 and/or other self-regulatory organizations; AND Leading teams of staff with varying backgrounds (e.g., legal, accounting, examining) AND Identifying emerging risks and issues affecting financial institutions. Education
This job does not have an education qualification requirement.
Additional information Disability Employment: For information on disability appointments, please visit http://www.opm.gov/policy-data-oversight/disability-employment/ IMPORTANT INFORMATION FOR SURPLUS OR DISPLACED FEDERAL EMPLOYEES: Career Transition Assistance Plan (CTAP) is available to individuals who have special priority selection rights under this plan. Individuals must be well-qualified for this position to receive consideration for special priority selection. CTAP eligibles will be considered well-qualified when receiving an adjudicated score of 80 or higher. Reasonable Accommodation: If you are an applicant who needs a reasonable accommodation for disability to participate in the application process at the SEC, submit the form for Reasonable Accommodation for Participation in Job Application Process here . Please be sure to submit your request at least 5 business days in advance of the date you need the requested accommodation. Equal Employment Opportunity (EEO) Information for SEC Job Applicants: Federal EEO laws protect all applicants from discrimination on the following bases: race, color, sex (not limited to conduct which is sexual in nature, includes pregnancy, gender identity, sexual orientation, transgender status), age (40 and over), religion, national origin, disability, genetic information, retaliation for participating in the EEO process or opposing discrimination. Applicants who believe they have been discriminated against on any EEO basis can seek recourse through the SEC's administrative complaints process. To be timely, an individual must enter the EEO process within 45 days from when they know (or should have known) of the alleged discrimination. Click here for additional information. Read more Benefits
A career with the U.S. government provides employees with a comprehensive benefits package. As a federal employee, you and your family will have access to a range of benefits that are designed to make your federal career very rewarding. Opens in a new window Learn more about federal benefits .
Review our benefits Eligibility for benefits depends on the type of position you hold and whether your position is full-time, part-time or intermittent. Contact the hiring agency for more information on the specific benefits offered. Required Documents
You must provide a complete Application Package, which includes:
Required : Your responses to the Online Assessment Questionnaire. Required: Your complete and comprehensive resume that includes a complete history of your work experience and the applicable employment dates with months and years. It is recommended that your resume include thetitle, series, and grade (e.g. SK-0301-12) for all relevant Federal experience . To determine if you qualify for this position, OHR will review your work history that is relevant to the specific position for which you applied. If you are a current SEC employee selected for this position, the standard percentage increases will be applied (i.e., 6% for non-supervisory and 10% for supervisory positions) if your selection results in a promotion. If your selection results in lateral movement (i.e. no change in grade) you will maintain your current salary. If your selection results in a change in grade from an SK-15 to an SK-16 you will maintain your current salary.Note: Your resume must directly address the definition of specialized experience listed in the qualification section of this announcement and must NOT contain pictures. Required, if applicable : CTAP documentation (a copy of a separation notice or other proof of eligibility for priority selection; a copy of an SF-50, Notification of Personnel Action, showing current position, grade, promotion potential, and duty location; AND a copy of your most recent performance appraisal.) *SEC EMPLOYEES : OHR will verify your competitive service eligibility via the SEC's personnel database.
U.S. Securities and Exchange Commission
Washington, DC
Duties
At the Securities and Exchange Commission (SEC), we are committed to diversity, equity, inclusion and accessibility (DEIA) and value a workforce that reflects the diverse experiences and perspectives of the communities we serve. As such, we welcome applications from qualified individuals of all backgrounds who share our commitment to public service.
The mission of the Division of Examinations is to protect investors, ensure market integrity and support responsible capital formation through risk-focused strategies that: (1) improve compliance; (2) prevent fraud; (3) monitor risk; and (4) inform policy. The results of the Division's examinations are used by the SEC to inform rule-making initiatives, identify and monitor risks, improve industry practices and pursue misconduct.
If selected, you will join a well-respected team in the Division that is responsible for providing expert examination guidance and leadership for sensitive and complex programs, issues, and problems dealing with examination or inspection activities for areas of program emphasis such as broker-dealers, municipal advisors, transfer agents, self-regulatory organizations, and funding portals.
As a Supervisory Attorney-Adviser, you will:
Plan and assign work, advise on program goals and objectives, make decisions on work problems, and organize and monitor the flow of work for the assigned programs in order to achieve the most effective results within a complex environment; Direct staff performing extensive and extremely complex inspections or examinations, work with the field offices, review reports and recommendations, provide advice on novel questions, analyze industry trends, and follow-up to ensure that recommendations are implemented by the industry; In the capacity of legal adviser and counselor, attend and participate in meetings and conferences where crucial policy formulation, procedural development, and program planning matters are discussed and agency positions developed; Provide executive leadership and management of the staff and work products by maintaining and exhibiting knowledge, insight, and understanding of the assigned specialized segment of the market; monitor new or unchartered marketing or financial techniques and developments that impacts SEC decisions; and Represent the agency in high level meetings, conferences, and presentations involving a wide range of participants such as regulatory or law enforcement agencies; state, local, national, or international government offices; private industry; and the academic community. Requirements Conditions of Employment CITIZENSHIP: You must be a US Citizen. You must possess a J.D. or LL.B Degree and You must be an active member of the bar in good standing. This position is open to EXAMS wide only. Application procedures are specific to this vacancy announcement. Please read all the instructions carefully. Failure to follow the instructions may result in you not being considered for this position. Supplementary vacancies may be filled in addition to the number stated in this announcement. This position has promotion potential to the SK-17. SUPERVISORY TRIAL PERIOD: This appointment may require completion of a two-year supervisory trial period. SECURITY CLEARANCE: Entrance on duty is contingent upon completion of a pre-employment security investigation. Favorable results on a Background Investigation may be a condition of employment or selection to another position. DRUG TESTING: This position may be subjected to drug testing requirements. PERMANENT CHANGE OF STATION (PCS): Moving/Relocation expenses are not authorized. DIRECT DEPOSIT: All Federal employees are required to have Federal salary payments made by direct deposit to a financial institution of their choosing. This position is not in the collective bargaining unit. This position is eligible to request telework in accordance with the SEC 's telework policy. Typical Examiner Travel: Examination staff routinely travel to the offices of registered entities to conduct on-site inspections of facilities, to meet with and interview entity personnel, and to examine certain business records Qualifications All qualification requirements must be met by the closing date of this announcement.
Qualifying experience may be obtained in the private or public sector. Experience refers to paid and unpaid experience, including volunteer work done through National Service programs (e.g., Peace Corps, AmeriCorps) and other organizations (e.g., professional; philanthropic; religious; spiritual; community, student, social). Volunteer work helps build critical competencies, knowledge, and skills and can provide valuable training and experience that translates directly to paid employment. You will receive credit for all qualifying experience, including volunteer experience. Qualifying education must have been obtained from an accredited college or university recognized by the U.S. Department of Education. BASIC REQUIREMENT: All applicants must possess the following J.D. or LL.B. degree --AND-- Active membership of the bar in good standing in any state, territory of the United States, the District of Columbia, or the commonwealth of Puerto Rico. (Note: proof of bar membership will be required before entry on duty. MINIMUM QUALIFICATION REQUIREMENT: In addition to meeting the basic requirement, applicants must also meet the minimum qualification requirement. SK-17: Applicant must have one year of specialized experience equivalent to the GS/SK-14 level. Specialized experience includes:
Interpreting and applying federal securities laws, rules and regulations; AND Leading teams of staff with varying backgrounds (e.g., legal, accounting, examining); AND Representing an organization at briefings, meetings, or conferences; AND Conducting compliance inspections, examinations, investigations, or audits of broker dealers, clearing agencies, transfer agents, municipal advisers, investment advisers, investment companies and/or other self-regulatory organizations. Education FOREIGN EDUCATION: If you are using education completed in foreign colleges or universities to meet the qualification requirements, you must show the education credentials have been evaluated by a private organization that specializes in interpretation of foreign education programs and such education has been deemed equivalent to that gained in an accredited U.S. education program; or full credit has been given for the courses at a U.S. accredited college or university. For further information, visit: http://www.ed.gov/about/offices/list/ous/international/usnei/us/edlite-visitus-forrecog.html Additional information IMPORTANT INFORMATION FOR SURPLUS OR DISPLACED FEDERAL EMPLOYEES: Career Transition Assistance Plan (CTAP) is available to individuals who have special priority selection rights under this plan. Individuals must be minimally qualified for this position to receive consideration for special priority selection. CTAP eligibles will be considered minimally qualified if they meet the minimum requirements for this position. Reasonable Accommodation: If you are an applicant who needs a reasonable accommodation for disability to participate in the application process at the SEC, submit the form for Reasonable Accommodation for Participation in Job Application Process here . Please be sure to submit your request at least 5 business days in advance of the date you need the requested accommodation. Equal Employment Opportunity (EEO) Information for SEC Job Applicants : Federal EEO laws protect all applicants from discrimination on the following bases: race, color, sex (not limited to conduct which is sexual in nature, includes pregnancy, gender identity, sexual orientation, transgender status), age (40 and over), religion, national origin, disability, genetic information, retaliation for participating in the EEO process or opposing discrimination. Applicants who believe they have been discriminated against on any EEO basis can seek recourse through the SEC's administrative complaints process. To be timely, an individual must enter the EEO process within 45 days from when they know (or should have known) of the alleged discrimination. Click here for additional information. Read more Benefits
A career with the U.S. government provides employees with a comprehensive benefits package. As a federal employee, you and your family will have access to a range of benefits that are designed to make your federal career very rewarding. Opens in a new window Learn more about federal benefits .
Review our benefits Eligibility for benefits depends on the type of position you hold and whether your position is full-time, part-time or intermittent. Contact the hiring agency for more information on the specific benefits offered. Required Documents
You must provide a complete Application Package, which includes:
Required : Your responses to the Occupational Questionnaire. Required: Your complete and comprehensive resume that includes a complete history of your work experience and the applicable employment dates with months and years. It is recommended that your resume include thetitle, series, and grade (e.g. SK-0301-12) for all relevant Federal experience . To determine if you qualify for this position, OHR will review your work history that is relevant to the specific position for which you applied. If you are a current SEC employee selected for this position, the standard percentage increases will be applied (i.e., 6% for non-supervisory and 10% for supervisory positions) if your selection results in a promotion. If your selection results in lateral movement (i.e. no change in grade) you will maintain your current salary. If your selection results in a change in grade from an SK-15 to an SK-16 you will maintain your current salary.Note: Your resume must directly address the definition of specialized experience listed in the qualification section of this announcement and must NOT contain pictures.
If you are relying on your education to meet qualification requirements:
Education must be accredited by an accrediting institution recognized by the U.S. Department of Education in order for it to be credited towards qualifications. Therefore, provide only the attendance and/or degrees from
schools accredited by accrediting institutions recognized by the U.S. Department of Education .
Failure to provide all of the required information as stated in this vacancy announcement may result in an ineligible rating or may affect the overall rating.
Full-time
Duties
At the Securities and Exchange Commission (SEC), we are committed to diversity, equity, inclusion and accessibility (DEIA) and value a workforce that reflects the diverse experiences and perspectives of the communities we serve. As such, we welcome applications from qualified individuals of all backgrounds who share our commitment to public service.
The mission of the Division of Examinations is to protect investors, ensure market integrity and support responsible capital formation through risk-focused strategies that: (1) improve compliance; (2) prevent fraud; (3) monitor risk; and (4) inform policy. The results of the Division's examinations are used by the SEC to inform rule-making initiatives, identify and monitor risks, improve industry practices and pursue misconduct.
If selected, you will join a well-respected team in the Division that is responsible for providing expert examination guidance and leadership for sensitive and complex programs, issues, and problems dealing with examination or inspection activities for areas of program emphasis such as broker-dealers, municipal advisors, transfer agents, self-regulatory organizations, and funding portals.
As a Supervisory Attorney-Adviser, you will:
Plan and assign work, advise on program goals and objectives, make decisions on work problems, and organize and monitor the flow of work for the assigned programs in order to achieve the most effective results within a complex environment; Direct staff performing extensive and extremely complex inspections or examinations, work with the field offices, review reports and recommendations, provide advice on novel questions, analyze industry trends, and follow-up to ensure that recommendations are implemented by the industry; In the capacity of legal adviser and counselor, attend and participate in meetings and conferences where crucial policy formulation, procedural development, and program planning matters are discussed and agency positions developed; Provide executive leadership and management of the staff and work products by maintaining and exhibiting knowledge, insight, and understanding of the assigned specialized segment of the market; monitor new or unchartered marketing or financial techniques and developments that impacts SEC decisions; and Represent the agency in high level meetings, conferences, and presentations involving a wide range of participants such as regulatory or law enforcement agencies; state, local, national, or international government offices; private industry; and the academic community. Requirements Conditions of Employment CITIZENSHIP: You must be a US Citizen. You must possess a J.D. or LL.B Degree and You must be an active member of the bar in good standing. This position is open to EXAMS wide only. Application procedures are specific to this vacancy announcement. Please read all the instructions carefully. Failure to follow the instructions may result in you not being considered for this position. Supplementary vacancies may be filled in addition to the number stated in this announcement. This position has promotion potential to the SK-17. SUPERVISORY TRIAL PERIOD: This appointment may require completion of a two-year supervisory trial period. SECURITY CLEARANCE: Entrance on duty is contingent upon completion of a pre-employment security investigation. Favorable results on a Background Investigation may be a condition of employment or selection to another position. DRUG TESTING: This position may be subjected to drug testing requirements. PERMANENT CHANGE OF STATION (PCS): Moving/Relocation expenses are not authorized. DIRECT DEPOSIT: All Federal employees are required to have Federal salary payments made by direct deposit to a financial institution of their choosing. This position is not in the collective bargaining unit. This position is eligible to request telework in accordance with the SEC 's telework policy. Typical Examiner Travel: Examination staff routinely travel to the offices of registered entities to conduct on-site inspections of facilities, to meet with and interview entity personnel, and to examine certain business records Qualifications All qualification requirements must be met by the closing date of this announcement.
Qualifying experience may be obtained in the private or public sector. Experience refers to paid and unpaid experience, including volunteer work done through National Service programs (e.g., Peace Corps, AmeriCorps) and other organizations (e.g., professional; philanthropic; religious; spiritual; community, student, social). Volunteer work helps build critical competencies, knowledge, and skills and can provide valuable training and experience that translates directly to paid employment. You will receive credit for all qualifying experience, including volunteer experience. Qualifying education must have been obtained from an accredited college or university recognized by the U.S. Department of Education. BASIC REQUIREMENT: All applicants must possess the following J.D. or LL.B. degree --AND-- Active membership of the bar in good standing in any state, territory of the United States, the District of Columbia, or the commonwealth of Puerto Rico. (Note: proof of bar membership will be required before entry on duty. MINIMUM QUALIFICATION REQUIREMENT: In addition to meeting the basic requirement, applicants must also meet the minimum qualification requirement. SK-17: Applicant must have one year of specialized experience equivalent to the GS/SK-14 level. Specialized experience includes:
Interpreting and applying federal securities laws, rules and regulations; AND Leading teams of staff with varying backgrounds (e.g., legal, accounting, examining); AND Representing an organization at briefings, meetings, or conferences; AND Conducting compliance inspections, examinations, investigations, or audits of broker dealers, clearing agencies, transfer agents, municipal advisers, investment advisers, investment companies and/or other self-regulatory organizations. Education FOREIGN EDUCATION: If you are using education completed in foreign colleges or universities to meet the qualification requirements, you must show the education credentials have been evaluated by a private organization that specializes in interpretation of foreign education programs and such education has been deemed equivalent to that gained in an accredited U.S. education program; or full credit has been given for the courses at a U.S. accredited college or university. For further information, visit: http://www.ed.gov/about/offices/list/ous/international/usnei/us/edlite-visitus-forrecog.html Additional information IMPORTANT INFORMATION FOR SURPLUS OR DISPLACED FEDERAL EMPLOYEES: Career Transition Assistance Plan (CTAP) is available to individuals who have special priority selection rights under this plan. Individuals must be minimally qualified for this position to receive consideration for special priority selection. CTAP eligibles will be considered minimally qualified if they meet the minimum requirements for this position. Reasonable Accommodation: If you are an applicant who needs a reasonable accommodation for disability to participate in the application process at the SEC, submit the form for Reasonable Accommodation for Participation in Job Application Process here . Please be sure to submit your request at least 5 business days in advance of the date you need the requested accommodation. Equal Employment Opportunity (EEO) Information for SEC Job Applicants : Federal EEO laws protect all applicants from discrimination on the following bases: race, color, sex (not limited to conduct which is sexual in nature, includes pregnancy, gender identity, sexual orientation, transgender status), age (40 and over), religion, national origin, disability, genetic information, retaliation for participating in the EEO process or opposing discrimination. Applicants who believe they have been discriminated against on any EEO basis can seek recourse through the SEC's administrative complaints process. To be timely, an individual must enter the EEO process within 45 days from when they know (or should have known) of the alleged discrimination. Click here for additional information. Read more Benefits
A career with the U.S. government provides employees with a comprehensive benefits package. As a federal employee, you and your family will have access to a range of benefits that are designed to make your federal career very rewarding. Opens in a new window Learn more about federal benefits .
Review our benefits Eligibility for benefits depends on the type of position you hold and whether your position is full-time, part-time or intermittent. Contact the hiring agency for more information on the specific benefits offered. Required Documents
You must provide a complete Application Package, which includes:
Required : Your responses to the Occupational Questionnaire. Required: Your complete and comprehensive resume that includes a complete history of your work experience and the applicable employment dates with months and years. It is recommended that your resume include thetitle, series, and grade (e.g. SK-0301-12) for all relevant Federal experience . To determine if you qualify for this position, OHR will review your work history that is relevant to the specific position for which you applied. If you are a current SEC employee selected for this position, the standard percentage increases will be applied (i.e., 6% for non-supervisory and 10% for supervisory positions) if your selection results in a promotion. If your selection results in lateral movement (i.e. no change in grade) you will maintain your current salary. If your selection results in a change in grade from an SK-15 to an SK-16 you will maintain your current salary.Note: Your resume must directly address the definition of specialized experience listed in the qualification section of this announcement and must NOT contain pictures.
If you are relying on your education to meet qualification requirements:
Education must be accredited by an accrediting institution recognized by the U.S. Department of Education in order for it to be credited towards qualifications. Therefore, provide only the attendance and/or degrees from
schools accredited by accrediting institutions recognized by the U.S. Department of Education .
Failure to provide all of the required information as stated in this vacancy announcement may result in an ineligible rating or may affect the overall rating.
U.S. Securities and Exchange Commission
Washington, DC
Duties At the SEC, we are committed to diversity, equity, inclusion and accessibility (DEIA) and value a workforce that reflects the diverse experiences and perspectives of the communities we serve. As such, we welcome applications from qualified individuals of all backgrounds who share our commitment to public service. The Chair's Attorney Honors Program is a program that allows students to begin work as Law Clerks after graduation and before passing the bar. Upon admission to a state bar association, Law Clerks are eligible to be converted to Attorney positions. This program is designed for third year law students and LLM, joint degree JD/graduate students as a means to secure future employment with the SEC. If selected, you are assigned to a single Division or Office, this program does not involve rotational opportunities.
It is the responsibility of the Commission to interpret and enforce federal securities laws; issue new rules and amend existing rules; oversee the inspection of securities firms, brokers, investment advisers, and ratings agencies; oversee private regulatory organizations in the securities, accounting, and auditing fields; and coordinate U.S. securities regulation with federal, state, and foreign authorities. The Commission is concerned primarily with promoting the disclosure of important market-related information, maintaining fair dealing, and protecting against fraud.
The following divisions and offices are hiring for the Fall 2024 Chair's Attorney Honors Program at the SEC. You will be asked to rank your top three choices of office. You will be given priority consideration of these offices, but may be contacted by any of them. SEC.gov | SEC Divisions Homepages Division of Investment Management (IM) Office of the General Counsel (OGC) Division of Corporation Finance (CF) Division of Examinations (EXAMS) - Broker-Dealer and Exchange Examination Program (HQ) Division of Examinations (EXAMS) - Broker-Dealer and Exchange Examination Program - Miami Regional Office (Miami) Division of Enforcement (ENF) - Philadelphia Regional Office (Philadelphia) Division of Enforcement (ENF) - Washington, D.C. (HQ) Typical duties can include: Actual duties will depend on placement within the Commission Investigating possible violations of the federal securities laws Conducting related legal research and writing Providing guidance to companies on SEC rules and forms Providing input for the proposal of new and revised rules to the Commission Working with a rulemaking team or rule filings submitted by self-regulatory organizations Working on matters related to the equity, options, security-based swaps, and fixed income markets Requirements Conditions of Employment CITIZENSHIP: This position is open to US Citizens. Application procedures are specific to this vacancy announcement. Please read all the instructions carefully. Failure to follow the instructions may result in you not being considered for this position. Supplementary vacancies may be filled in addition to the number stated in this announcement. TRIAL PERIOD: This appointment may require completion of a two-year trial period. SECURITY CLEARANCE: Entrance on duty is contingent upon completion of a pre-employment security investigation. Favorable results on a Background Investigation may be a condition of employment or selection to another position. DRUG TESTING: This position may be subjected to drug testing requirements. PERMANENT CHANGE OF STATION (PCS): Moving/Relocation expenses are not authorized. DIRECT DEPOSIT: All Federal employees are required to have Federal salary payments made by direct deposit to a financial institution of their choosing. This position is in the collective bargaining unit. Starting on the Entrance on Duty (EOD) date, law clerks have 14 months to pass the bar. Failure to do so can result in termination. This position has promotion potential to the SK-11. SELECTIVE SERVICE: Males born after 12/31/1959 must be registered for the Selective Service. You must possess a J.D. or LL.B Degree by the intended Entrance on Duty (EOD) date. This position is eligible to request telework in accordance with the SEC 's telework policy. Qualifications All qualification requirements must be met by the closing date of this announcement. The anticipated Entrance on Duty (EOD) date is September/October 2024, or sooner. MINIMUM QUALIFICATION REQUIREMENT: All applicants must possess at least one of the following: Be a current law student who will graduate prior to September 2024; OR Be a current joint-degree law student who will complete all academic requirements for both degrees and graduate from both programs prior to September 2024. Education FOREIGN EDUCATION: If you are using education completed in foreign colleges or universities to meet the qualification requirements, you must show the education credentials have been evaluated by a private organization that specializes in interpretation of foreign education programs and such education has been deemed equivalent to that gained in an accredited U.S. education program; or full credit has been given for the courses at a U.S. accredited college or university. For further information, visit: http://www.ed.gov/about/offices/list/ous/international/usnei/us/edlite-visitus-forrecog.html Additional information The Chair's Attorney Honors Program appointments for Law Clerks are for 14-months pending bar association admission. Upon admission to a state bar association, Law Clerks can be converted to Attorneys for the remainder of the program and for future employment. The Chair's Attorney Honors Program is a two-year long developmental program. Promotion Potential: Upon conversion to an Attorney position, this position has promotion potential to the SK-14 grade level. SEC COMPENSATION PROGRAM: The overall salary range listed above is provided for informational purposes as it represents the full range that is applicable to current employees in this occupation/grade; however, a selectee's initial pay is always set below the maximum rate of the range. Please click here for additional information. Disability Employment: For information on disability appointments, please visit http://www.opm.gov/policy-data-oversight/disability-employment/ IMPORTANT INFORMATION FOR SURPLUS OR DISPLACED FEDERAL EMPLOYEES: Career Transition Assistance Plan (CTAP) is available to individuals who have special priority selection rights under this plan. Individuals must be minimally qualified for this position to receive consideration for special priority selection. CTAP eligibles will be considered minimally qualified if they meet the minimum requirements for this position. Reasonable Accommodation: If you are an applicant who needs a reasonable accommodation for disability to participate in the application process at the SEC, submit the form for Reasonable Accommodation for Participation in Job Application Process here . Please be sure to submit your request at least 5 business days in advance of the date you need the requested accommodation. Equal Employment Opportunity (EEO) Information for SEC Job Applicants: Federal EEO laws protect all applicants from discrimination on the following bases: race, color, sex (not limited to conduct which is sexual in nature, includes pregnancy, gender identity, sexual orientation, transgender status), age (40 and over), religion, national origin, disability, genetic information, retaliation for participating in the EEO process or opposing discrimination. Applicants who believe they have been discriminated against on any EEO basis can seek recourse through the SEC's administrative complaints process. To be timely, an individual must enter the EEO process within 45 days from when they know (or should have known) of the alleged discrimination. Click here for additional information. SEC COMPENSATION PROGRAM: For questions regarding SEC pay setting practices, please click here . Read more Benefits
A career with the U.S. government provides employees with a comprehensive benefits package. As a federal employee, you and your family will have access to a range of benefits that are designed to make your federal career very rewarding. Opens in a new window Learn more about federal benefits .
Review our benefits Eligibility for benefits depends on the type of position you hold and whether your position is full-time, part-time or intermittent. Contact the hiring agency for more information on the specific benefits offered. Required Documents
You must provide a complete Application Package, which includes:
Required : Your responses to the Occupational Questionnaire. Required: Your complete and comprehensive resume that includes a complete history of your work experience and the applicable employment dates with months and years. If you are a current or former Federal employee, it is recommended that your resume include thetitle, series, and grade (e.g. SK-0301-12) for all relevant Federal experience . To determine if you qualify for this position, OHR will review your work history that is relevant to the specific position for which you applied. If you are an external candidate selected for this position, OHR will review your complete work history to establish your starting salary. If you are a current SEC employee selected for this position, the standard percentage increases will be applied (i.e., 6% for non-supervisory and 10% for supervisory positions) if your selection results in a promotion. If your selection results in lateral movement (i.e. no change in grade) you will maintain your current salary.Note: Your resume must directly address the definition of specialized experience listed in the qualification section of this announcement and must NOT contain pictures. For external candidates: Information on how your resume will be used for pay setting purposes can be found here . Required: Cover letter. Provide a cover letter that includes information you wish to express to the selecting official that is outside of what is included in your resume. The cover letter can simply be addressed to "Dear Hiring Committee". Required: An unofficial law school transcript. ( Note : If you are selected for this position, an official transcript will be required). Required : Proof of current enrollment ( Note: if your unofficial transcript reflects current enrollment status as well, please upload the same document twice.) Required : Legal writing sample, no longer than 10-pages. Required, if applicable: Veteran's documentation (DD-214, member 4 copy or other documentation containing dates of service and character of discharge.) Required, if applicable: Copy of your latest SF-50 (Notification of Personnel Action). Required, if applicable: CTAP documentation (a copy of a separation notice or other proof of eligibility for priority selection; a copy of an SF-50, Notification of Personnel Action, showing current position, grade, promotion potential, and duty location; AND a copy of your most recent performance appraisal.) Important Notes: Utilize the preview feature of USAJobs to view your documents and ensure the formatting remains and all documents are legible . Screenshots of documents will not be accepted. Additional materials will not be accepted after the announcement closes (e.g. updated grades, updated resume, etc.). Your full name must be clearly visible on all documents. Do not submit encrypted documents. Tips : Encrypted documents do not transmit properly through USAJobs. We recommend, you save the document as a new PDF, or Print to PDF to ensure the document comes through properly and is displayed properly using the USAJobs preview feature .
If you are relying on your education to meet qualification requirements:
Education must be accredited by an accrediting institution recognized by the U.S. Department of Education in order for it to be credited towards qualifications. Therefore, provide only the attendance and/or degrees from
schools accredited by accrediting institutions recognized by the U.S. Department of Education .
Failure to provide all of the required information as stated in this vacancy announcement may result in an ineligible rating or may affect the overall rating.
Full-time
Duties At the SEC, we are committed to diversity, equity, inclusion and accessibility (DEIA) and value a workforce that reflects the diverse experiences and perspectives of the communities we serve. As such, we welcome applications from qualified individuals of all backgrounds who share our commitment to public service. The Chair's Attorney Honors Program is a program that allows students to begin work as Law Clerks after graduation and before passing the bar. Upon admission to a state bar association, Law Clerks are eligible to be converted to Attorney positions. This program is designed for third year law students and LLM, joint degree JD/graduate students as a means to secure future employment with the SEC. If selected, you are assigned to a single Division or Office, this program does not involve rotational opportunities.
It is the responsibility of the Commission to interpret and enforce federal securities laws; issue new rules and amend existing rules; oversee the inspection of securities firms, brokers, investment advisers, and ratings agencies; oversee private regulatory organizations in the securities, accounting, and auditing fields; and coordinate U.S. securities regulation with federal, state, and foreign authorities. The Commission is concerned primarily with promoting the disclosure of important market-related information, maintaining fair dealing, and protecting against fraud.
The following divisions and offices are hiring for the Fall 2024 Chair's Attorney Honors Program at the SEC. You will be asked to rank your top three choices of office. You will be given priority consideration of these offices, but may be contacted by any of them. SEC.gov | SEC Divisions Homepages Division of Investment Management (IM) Office of the General Counsel (OGC) Division of Corporation Finance (CF) Division of Examinations (EXAMS) - Broker-Dealer and Exchange Examination Program (HQ) Division of Examinations (EXAMS) - Broker-Dealer and Exchange Examination Program - Miami Regional Office (Miami) Division of Enforcement (ENF) - Philadelphia Regional Office (Philadelphia) Division of Enforcement (ENF) - Washington, D.C. (HQ) Typical duties can include: Actual duties will depend on placement within the Commission Investigating possible violations of the federal securities laws Conducting related legal research and writing Providing guidance to companies on SEC rules and forms Providing input for the proposal of new and revised rules to the Commission Working with a rulemaking team or rule filings submitted by self-regulatory organizations Working on matters related to the equity, options, security-based swaps, and fixed income markets Requirements Conditions of Employment CITIZENSHIP: This position is open to US Citizens. Application procedures are specific to this vacancy announcement. Please read all the instructions carefully. Failure to follow the instructions may result in you not being considered for this position. Supplementary vacancies may be filled in addition to the number stated in this announcement. TRIAL PERIOD: This appointment may require completion of a two-year trial period. SECURITY CLEARANCE: Entrance on duty is contingent upon completion of a pre-employment security investigation. Favorable results on a Background Investigation may be a condition of employment or selection to another position. DRUG TESTING: This position may be subjected to drug testing requirements. PERMANENT CHANGE OF STATION (PCS): Moving/Relocation expenses are not authorized. DIRECT DEPOSIT: All Federal employees are required to have Federal salary payments made by direct deposit to a financial institution of their choosing. This position is in the collective bargaining unit. Starting on the Entrance on Duty (EOD) date, law clerks have 14 months to pass the bar. Failure to do so can result in termination. This position has promotion potential to the SK-11. SELECTIVE SERVICE: Males born after 12/31/1959 must be registered for the Selective Service. You must possess a J.D. or LL.B Degree by the intended Entrance on Duty (EOD) date. This position is eligible to request telework in accordance with the SEC 's telework policy. Qualifications All qualification requirements must be met by the closing date of this announcement. The anticipated Entrance on Duty (EOD) date is September/October 2024, or sooner. MINIMUM QUALIFICATION REQUIREMENT: All applicants must possess at least one of the following: Be a current law student who will graduate prior to September 2024; OR Be a current joint-degree law student who will complete all academic requirements for both degrees and graduate from both programs prior to September 2024. Education FOREIGN EDUCATION: If you are using education completed in foreign colleges or universities to meet the qualification requirements, you must show the education credentials have been evaluated by a private organization that specializes in interpretation of foreign education programs and such education has been deemed equivalent to that gained in an accredited U.S. education program; or full credit has been given for the courses at a U.S. accredited college or university. For further information, visit: http://www.ed.gov/about/offices/list/ous/international/usnei/us/edlite-visitus-forrecog.html Additional information The Chair's Attorney Honors Program appointments for Law Clerks are for 14-months pending bar association admission. Upon admission to a state bar association, Law Clerks can be converted to Attorneys for the remainder of the program and for future employment. The Chair's Attorney Honors Program is a two-year long developmental program. Promotion Potential: Upon conversion to an Attorney position, this position has promotion potential to the SK-14 grade level. SEC COMPENSATION PROGRAM: The overall salary range listed above is provided for informational purposes as it represents the full range that is applicable to current employees in this occupation/grade; however, a selectee's initial pay is always set below the maximum rate of the range. Please click here for additional information. Disability Employment: For information on disability appointments, please visit http://www.opm.gov/policy-data-oversight/disability-employment/ IMPORTANT INFORMATION FOR SURPLUS OR DISPLACED FEDERAL EMPLOYEES: Career Transition Assistance Plan (CTAP) is available to individuals who have special priority selection rights under this plan. Individuals must be minimally qualified for this position to receive consideration for special priority selection. CTAP eligibles will be considered minimally qualified if they meet the minimum requirements for this position. Reasonable Accommodation: If you are an applicant who needs a reasonable accommodation for disability to participate in the application process at the SEC, submit the form for Reasonable Accommodation for Participation in Job Application Process here . Please be sure to submit your request at least 5 business days in advance of the date you need the requested accommodation. Equal Employment Opportunity (EEO) Information for SEC Job Applicants: Federal EEO laws protect all applicants from discrimination on the following bases: race, color, sex (not limited to conduct which is sexual in nature, includes pregnancy, gender identity, sexual orientation, transgender status), age (40 and over), religion, national origin, disability, genetic information, retaliation for participating in the EEO process or opposing discrimination. Applicants who believe they have been discriminated against on any EEO basis can seek recourse through the SEC's administrative complaints process. To be timely, an individual must enter the EEO process within 45 days from when they know (or should have known) of the alleged discrimination. Click here for additional information. SEC COMPENSATION PROGRAM: For questions regarding SEC pay setting practices, please click here . Read more Benefits
A career with the U.S. government provides employees with a comprehensive benefits package. As a federal employee, you and your family will have access to a range of benefits that are designed to make your federal career very rewarding. Opens in a new window Learn more about federal benefits .
Review our benefits Eligibility for benefits depends on the type of position you hold and whether your position is full-time, part-time or intermittent. Contact the hiring agency for more information on the specific benefits offered. Required Documents
You must provide a complete Application Package, which includes:
Required : Your responses to the Occupational Questionnaire. Required: Your complete and comprehensive resume that includes a complete history of your work experience and the applicable employment dates with months and years. If you are a current or former Federal employee, it is recommended that your resume include thetitle, series, and grade (e.g. SK-0301-12) for all relevant Federal experience . To determine if you qualify for this position, OHR will review your work history that is relevant to the specific position for which you applied. If you are an external candidate selected for this position, OHR will review your complete work history to establish your starting salary. If you are a current SEC employee selected for this position, the standard percentage increases will be applied (i.e., 6% for non-supervisory and 10% for supervisory positions) if your selection results in a promotion. If your selection results in lateral movement (i.e. no change in grade) you will maintain your current salary.Note: Your resume must directly address the definition of specialized experience listed in the qualification section of this announcement and must NOT contain pictures. For external candidates: Information on how your resume will be used for pay setting purposes can be found here . Required: Cover letter. Provide a cover letter that includes information you wish to express to the selecting official that is outside of what is included in your resume. The cover letter can simply be addressed to "Dear Hiring Committee". Required: An unofficial law school transcript. ( Note : If you are selected for this position, an official transcript will be required). Required : Proof of current enrollment ( Note: if your unofficial transcript reflects current enrollment status as well, please upload the same document twice.) Required : Legal writing sample, no longer than 10-pages. Required, if applicable: Veteran's documentation (DD-214, member 4 copy or other documentation containing dates of service and character of discharge.) Required, if applicable: Copy of your latest SF-50 (Notification of Personnel Action). Required, if applicable: CTAP documentation (a copy of a separation notice or other proof of eligibility for priority selection; a copy of an SF-50, Notification of Personnel Action, showing current position, grade, promotion potential, and duty location; AND a copy of your most recent performance appraisal.) Important Notes: Utilize the preview feature of USAJobs to view your documents and ensure the formatting remains and all documents are legible . Screenshots of documents will not be accepted. Additional materials will not be accepted after the announcement closes (e.g. updated grades, updated resume, etc.). Your full name must be clearly visible on all documents. Do not submit encrypted documents. Tips : Encrypted documents do not transmit properly through USAJobs. We recommend, you save the document as a new PDF, or Print to PDF to ensure the document comes through properly and is displayed properly using the USAJobs preview feature .
If you are relying on your education to meet qualification requirements:
Education must be accredited by an accrediting institution recognized by the U.S. Department of Education in order for it to be credited towards qualifications. Therefore, provide only the attendance and/or degrees from
schools accredited by accrediting institutions recognized by the U.S. Department of Education .
Failure to provide all of the required information as stated in this vacancy announcement may result in an ineligible rating or may affect the overall rating.
U.S. Securities and Exchange Commission
Washington, DC
Duties
At the Securities and Exchange Commission (SEC), we are committed to diversity, equity, inclusion and accessibility (DEIA) and value a workforce that reflects the diverse experiences and perspectives of the communities we serve. As such, we welcome applications from qualified individuals of all backgrounds who share our commitment to public service.
Typical duties may include:
Serves as a senior adviser providing direct support to the senior staff involved in information technology operations, architecture, and systems management in the Division. Develops, deploys, and maintains containerized applications within the Amazon Cloud Environment at the SEC (ACES). Develops and maintains cyber security elements in conjunction with SEC security policy, including access control and system logging components. Maintains current policy and best practices knowledge for a rapidly evolving cloud computing environment, which requires monitoring, evaluating, and implementing changes based on Federal policy and industry standards. Keeps up to date with the latest security threats and trends to proactively address potential vulnerabilities. Develops guidance and implements plans based on that guidance for continuous integration/continuous development (CI/CD) for ACES hosted applications. Develops and maintains code bases, deployment schedules, and change controls for DERA deployable applications. Collaborates with internal and external stakeholders to develop and maintain systems that meet stakeholder requirements. Requirements Conditions of Employment You must be a US Citizen. Application procedures are specific to this vacancy announcement. Please read all the instructions carefully. Failure to follow the instructions may result in you not being considered for this position. Supplementary vacancies may be filled in addition to the number stated in this announcement. This position has promotion potential to the SK-14 level. PROBATIONARY PERIOD: This appointment may require completion of a one-year probationary period. SECURITY CLEARANCE: Entrance on duty is contingent upon completion of a pre-employment security investigation. Favorable results on a Background Investigation may be a condition of employment or selection to another position. DRUG TESTING: This position may be subjected to drug testing requirements. PERMANENT CHANGE OF STATION (PCS): Moving/Relocation expenses are not authorized. DIRECT DEPOSIT: All Federal employees are required to have Federal salary payments made by direct deposit to a financial institution of their choosing. This position is in the collective bargaining unit. This position is eligible to request telework in accordance with the SEC 's telework policy. Existing Participants in the SEC?s Remote Telework Program are eligible to apply for this position. If selected, management will evaluate and communicate whether the position will allow for continued participation in Remote Telework. Qualifications All qualification requirements must be met by the closing date of this announcement.
Qualifying experience may be obtained in the private or public sector. Experience refers to paid and unpaid experience, including volunteer work done through National Service programs (e.g., Peace Corps, AmeriCorps) and other organizations (e.g., professional; philanthropic; religious; spiritual; community, student, social). Volunteer work helps build critical competencies, knowledge, and skills and can provide valuable training and experience that translates directly to paid employment. You will receive credit for all qualifying experience, including volunteer experience. BASIC REQUIREMENT : Bachelor's degree in computer science or bachelor's degree with 30 semester hours in a combination of mathematics, statistics, and computer science. At least 15 of the 30 semester hours must have included any combination of statistics and mathematics that included differential and integral calculus. All academic degrees and course work must be from accredited or pre-accredited institutions. MINIMUM QUALIFICATION REQUIREMENT : In addition to meeting the basic requirement, applicants must also meet the minimum qualification requirement. SK-13: (1) Developing software systems, high-speed computing systems; real time data acquisitions systems, simulation modeling, and data analysis. (2) Providing technical guidance in planning, coordinating, and evaluating proposed research projects and programs of interest; (3) Developing computer systems and public cloud technologies, such as AWS, and (4) Developing and enforcing security policies and procedures to safeguard sensitive data or configuring and maintaining access controls and authentication methods. SK-14: (1) Developing software systems, high-speed computing systems; real time data acquisitions systems, simulation modeling; (2) Developing and applying system evaluation methods and techniques to major portions of large projects of studies. (3) Serving as a staff specialist responsible for providing technical leadership and guidance in a major subject-matter, functional, or program area. (4) Providing technical guidance and management over large application portfolios in a hybrid cloud environment following ITSM/ITIL methodology. (5) Developing computer systems and public cloud technologies, such as AWS., and (6) Developing and enforcing security policies and procedures to safeguard sensitive data or configuring and maintaining access controls and authentication methods.
Education
You MUST provide transcripts or other documentation to support your educational claims. Official or unofficial transcripts are acceptable. All materials must be submitted by the closing date of the announcement. FOREIGN EDUCATION: If you are using education completed in foreign colleges or universities to meet the qualification requirements, you must show the education credentials have been evaluated by a private organization that specializes in interpretation of foreign education programs and such education has been deemed equivalent to that gained in an accredited U.S. education program; or full credit has been given for the courses at a U.S. accredited college or university. For further information, visit: http://www.ed.gov/about/offices/list/ous/international/usnei/us/edlite-visitus-forrecog.html Additional information SEC COMPENSATION PROGRAM: The overall salary range listed above is provided for informational purposes as it represents the full range that is applicable to current employees in this occupation/grade; however, a selectee's initial pay is always set below the maximum rate of the range. Please click here for additional information. IMPORTANT INFORMATION FOR SURPLUS OR DISPLACED FEDERAL EMPLOYEES : Career Transition Assistance Plan (CTAP) and Interagency Career Transition Assistance Plan (ICTAP) are available to individuals who have special priority selection rights under this plan. Individuals must be well-qualified for this position to receive consideration for special priority selection. CTAP or ICTAP eligibles will be considered well-qualified when receiving an adjudicated score of 80 or higher. Reasonable Accommodation: If you are an applicant who needs a reasonable accommodation for disability to participate in the application process at the SEC, submit the form for Reasonable Accommodation for Participation in Job Application Process here . Please be sure to submit your request at least 5 business days in advance of the date you need the requested accommodation. Equal Employment Opportunity (EEO) Information for SEC Job Applicants: Federal EEO laws protect all applicants from discrimination on the following bases: race, color, sex (not limited to conduct which is sexual in nature, includes pregnancy, gender identity, sexual orientation, transgender status), age (40 and over), religion, national origin, disability, genetic information, retaliation for participating in the EEO process or opposing discrimination. Applicants who believe they have been discriminated against on any EEO basis can seek recourse through the SEC's administrative complaints process. To be timely, an individual must enter the EEO process within 45 days from when they know (or should have known) of the alleged discrimination. Click here for additional information. Read more Benefits
A career with the U.S. government provides employees with a comprehensive benefits package. As a federal employee, you and your family will have access to a range of benefits that are designed to make your federal career very rewarding. Opens in a new window Learn more about federal benefits .
Review our benefits Eligibility for benefits depends on the type of position you hold and whether your position is full-time, part-time or intermittent. Contact the hiring agency for more information on the specific benefits offered. Required Documents You must provide a complete Application Package, which includes: Required : Your responses to the Occupational Questionnaire. Required : Your complete and comprehensive resume that includes a complete history of your work experience and the applicable employment dates with months and years. To determine if you qualify for this position, OHR will review your work history that is relevant to the specific position for which you applied. If you are an external candidate selected for this position, OHR will review your complete work history to establish your starting salary.If you are a current SEC employee selected for this position, the standard percentage increases will be applied (i.e., 6% for non-supervisory positions) if your selection results in a promotion. If your selection results in lateral movement (i.e. no change in grade) you will maintain your current salary. If your selection results in a change in grade from an SK-15 to an SK-16 you will maintain your current salary. Note : Your resume must directly address the definition of specialized experience listed in the qualification section of this announcement and must NOT contain pictures. For external candidates: Information on how your resume will be used for pay setting purposes can be found here . Required, if applicable: CTAP/ICTAP documentation (a copy of a separation notice or other proof of eligibility for priority selection; a copy of an SF-50, Notification of Personnel Action, showing current position, grade, promotion potential, and duty location; AND a copy of your most recent performance appraisal.) Required, if applicable : Veteran's Preference Documentation (DD-214, Member Copy 4 or other documentation containing dates of service and character of discharge. Disabled veterans and other applicants eligible for 10-point Veteran's Preference please include: documentation to validate your claim - VA letter, SF-15, etc).
If you are relying on your education to meet qualification requirements:
Education must be accredited by an accrediting institution recognized by the U.S. Department of Education in order for it to be credited towards qualifications. Therefore, provide only the attendance and/or degrees from
schools accredited by accrediting institutions recognized by the U.S. Department of Education .
Failure to provide all of the required information as stated in this vacancy announcement may result in an ineligible rating or may affect the overall rating.
Full-time
Duties
At the Securities and Exchange Commission (SEC), we are committed to diversity, equity, inclusion and accessibility (DEIA) and value a workforce that reflects the diverse experiences and perspectives of the communities we serve. As such, we welcome applications from qualified individuals of all backgrounds who share our commitment to public service.
Typical duties may include:
Serves as a senior adviser providing direct support to the senior staff involved in information technology operations, architecture, and systems management in the Division. Develops, deploys, and maintains containerized applications within the Amazon Cloud Environment at the SEC (ACES). Develops and maintains cyber security elements in conjunction with SEC security policy, including access control and system logging components. Maintains current policy and best practices knowledge for a rapidly evolving cloud computing environment, which requires monitoring, evaluating, and implementing changes based on Federal policy and industry standards. Keeps up to date with the latest security threats and trends to proactively address potential vulnerabilities. Develops guidance and implements plans based on that guidance for continuous integration/continuous development (CI/CD) for ACES hosted applications. Develops and maintains code bases, deployment schedules, and change controls for DERA deployable applications. Collaborates with internal and external stakeholders to develop and maintain systems that meet stakeholder requirements. Requirements Conditions of Employment You must be a US Citizen. Application procedures are specific to this vacancy announcement. Please read all the instructions carefully. Failure to follow the instructions may result in you not being considered for this position. Supplementary vacancies may be filled in addition to the number stated in this announcement. This position has promotion potential to the SK-14 level. PROBATIONARY PERIOD: This appointment may require completion of a one-year probationary period. SECURITY CLEARANCE: Entrance on duty is contingent upon completion of a pre-employment security investigation. Favorable results on a Background Investigation may be a condition of employment or selection to another position. DRUG TESTING: This position may be subjected to drug testing requirements. PERMANENT CHANGE OF STATION (PCS): Moving/Relocation expenses are not authorized. DIRECT DEPOSIT: All Federal employees are required to have Federal salary payments made by direct deposit to a financial institution of their choosing. This position is in the collective bargaining unit. This position is eligible to request telework in accordance with the SEC 's telework policy. Existing Participants in the SEC?s Remote Telework Program are eligible to apply for this position. If selected, management will evaluate and communicate whether the position will allow for continued participation in Remote Telework. Qualifications All qualification requirements must be met by the closing date of this announcement.
Qualifying experience may be obtained in the private or public sector. Experience refers to paid and unpaid experience, including volunteer work done through National Service programs (e.g., Peace Corps, AmeriCorps) and other organizations (e.g., professional; philanthropic; religious; spiritual; community, student, social). Volunteer work helps build critical competencies, knowledge, and skills and can provide valuable training and experience that translates directly to paid employment. You will receive credit for all qualifying experience, including volunteer experience. BASIC REQUIREMENT : Bachelor's degree in computer science or bachelor's degree with 30 semester hours in a combination of mathematics, statistics, and computer science. At least 15 of the 30 semester hours must have included any combination of statistics and mathematics that included differential and integral calculus. All academic degrees and course work must be from accredited or pre-accredited institutions. MINIMUM QUALIFICATION REQUIREMENT : In addition to meeting the basic requirement, applicants must also meet the minimum qualification requirement. SK-13: (1) Developing software systems, high-speed computing systems; real time data acquisitions systems, simulation modeling, and data analysis. (2) Providing technical guidance in planning, coordinating, and evaluating proposed research projects and programs of interest; (3) Developing computer systems and public cloud technologies, such as AWS, and (4) Developing and enforcing security policies and procedures to safeguard sensitive data or configuring and maintaining access controls and authentication methods. SK-14: (1) Developing software systems, high-speed computing systems; real time data acquisitions systems, simulation modeling; (2) Developing and applying system evaluation methods and techniques to major portions of large projects of studies. (3) Serving as a staff specialist responsible for providing technical leadership and guidance in a major subject-matter, functional, or program area. (4) Providing technical guidance and management over large application portfolios in a hybrid cloud environment following ITSM/ITIL methodology. (5) Developing computer systems and public cloud technologies, such as AWS., and (6) Developing and enforcing security policies and procedures to safeguard sensitive data or configuring and maintaining access controls and authentication methods.
Education
You MUST provide transcripts or other documentation to support your educational claims. Official or unofficial transcripts are acceptable. All materials must be submitted by the closing date of the announcement. FOREIGN EDUCATION: If you are using education completed in foreign colleges or universities to meet the qualification requirements, you must show the education credentials have been evaluated by a private organization that specializes in interpretation of foreign education programs and such education has been deemed equivalent to that gained in an accredited U.S. education program; or full credit has been given for the courses at a U.S. accredited college or university. For further information, visit: http://www.ed.gov/about/offices/list/ous/international/usnei/us/edlite-visitus-forrecog.html Additional information SEC COMPENSATION PROGRAM: The overall salary range listed above is provided for informational purposes as it represents the full range that is applicable to current employees in this occupation/grade; however, a selectee's initial pay is always set below the maximum rate of the range. Please click here for additional information. IMPORTANT INFORMATION FOR SURPLUS OR DISPLACED FEDERAL EMPLOYEES : Career Transition Assistance Plan (CTAP) and Interagency Career Transition Assistance Plan (ICTAP) are available to individuals who have special priority selection rights under this plan. Individuals must be well-qualified for this position to receive consideration for special priority selection. CTAP or ICTAP eligibles will be considered well-qualified when receiving an adjudicated score of 80 or higher. Reasonable Accommodation: If you are an applicant who needs a reasonable accommodation for disability to participate in the application process at the SEC, submit the form for Reasonable Accommodation for Participation in Job Application Process here . Please be sure to submit your request at least 5 business days in advance of the date you need the requested accommodation. Equal Employment Opportunity (EEO) Information for SEC Job Applicants: Federal EEO laws protect all applicants from discrimination on the following bases: race, color, sex (not limited to conduct which is sexual in nature, includes pregnancy, gender identity, sexual orientation, transgender status), age (40 and over), religion, national origin, disability, genetic information, retaliation for participating in the EEO process or opposing discrimination. Applicants who believe they have been discriminated against on any EEO basis can seek recourse through the SEC's administrative complaints process. To be timely, an individual must enter the EEO process within 45 days from when they know (or should have known) of the alleged discrimination. Click here for additional information. Read more Benefits
A career with the U.S. government provides employees with a comprehensive benefits package. As a federal employee, you and your family will have access to a range of benefits that are designed to make your federal career very rewarding. Opens in a new window Learn more about federal benefits .
Review our benefits Eligibility for benefits depends on the type of position you hold and whether your position is full-time, part-time or intermittent. Contact the hiring agency for more information on the specific benefits offered. Required Documents You must provide a complete Application Package, which includes: Required : Your responses to the Occupational Questionnaire. Required : Your complete and comprehensive resume that includes a complete history of your work experience and the applicable employment dates with months and years. To determine if you qualify for this position, OHR will review your work history that is relevant to the specific position for which you applied. If you are an external candidate selected for this position, OHR will review your complete work history to establish your starting salary.If you are a current SEC employee selected for this position, the standard percentage increases will be applied (i.e., 6% for non-supervisory positions) if your selection results in a promotion. If your selection results in lateral movement (i.e. no change in grade) you will maintain your current salary. If your selection results in a change in grade from an SK-15 to an SK-16 you will maintain your current salary. Note : Your resume must directly address the definition of specialized experience listed in the qualification section of this announcement and must NOT contain pictures. For external candidates: Information on how your resume will be used for pay setting purposes can be found here . Required, if applicable: CTAP/ICTAP documentation (a copy of a separation notice or other proof of eligibility for priority selection; a copy of an SF-50, Notification of Personnel Action, showing current position, grade, promotion potential, and duty location; AND a copy of your most recent performance appraisal.) Required, if applicable : Veteran's Preference Documentation (DD-214, Member Copy 4 or other documentation containing dates of service and character of discharge. Disabled veterans and other applicants eligible for 10-point Veteran's Preference please include: documentation to validate your claim - VA letter, SF-15, etc).
If you are relying on your education to meet qualification requirements:
Education must be accredited by an accrediting institution recognized by the U.S. Department of Education in order for it to be credited towards qualifications. Therefore, provide only the attendance and/or degrees from
schools accredited by accrediting institutions recognized by the U.S. Department of Education .
Failure to provide all of the required information as stated in this vacancy announcement may result in an ineligible rating or may affect the overall rating.
U.S. Securities and Exchange Commission
Washington, DC
Duties
At the Securities and Exchange Commission (SEC), we are committed to diversity, equity, inclusion and accessibility (DEIA) and value a workforce that reflects the diverse experiences and perspectives of the communities we serve. As such, we welcome applications from qualified individuals of all backgrounds who share our commitment to public service.
If selected, you will join a well-respected team in the Division that is responsible for providing expert examination guidance and leadership for sensitive and complex programs, issues, and problems dealing with examination or inspection activities for areas of program emphasis such as self-regulatory organizations, broker-dealers, transfer agents, clearing agencies, investment companies, and investment advisers.
As a Supervisory Securities Compliance Examiner, you will:
Plan and assign work, advising on program goals and objectives, making decisions on work problems, and organizing and monitoring the flow of work for the assigned programs in order to achieve the most effective results within a complex environment; Direct staff performing extensive and extremely complex inspections or examinations, working with the field offices, reviewing reports and recommendations; Provide advice on novel questions, analyzing industry trends, and following-up to ensure that recommendations are implemented by the industry; Attend and participate in meetings and conferences where crucial policy formulation, procedural development, and program planning matters are discussed and agency positions developed; Provide executive leadership and management of the staff and work products by maintaining and exhibiting knowledge, insight, and understanding of the assigned specialized segment of the market; monitoring new or unchartered marketing or financial techniques and developments that impacts SEC decisions; and Represent the agency in high level meetings, conferences, and presentations involving a wide range of participants such as regulatory or law enforcement agencies; state, local, national, or international government offices; private industry; and the academic community. Requirements Conditions of Employment You must be a US Citizen. Application procedures are specific to this vacancy announcement. Please read all the instructions carefully. Failure to follow the instructions may result in you not being considered for this position. Supplementary vacancies may be filled in addition to the number stated in this announcement. This position has promotion potential to the SK-17. PROBATIONARY PERIOD: This appointment may require completion of a two-year probationary period. SECURITY CLEARANCE: Entrance on duty is contingent upon completion of a pre-employment security investigation. Favorable results on a Background Investigation may be a condition of employment or selection to another position. DRUG TESTING: This position may be subjected to drug testing requirements. PERMANENT CHANGE OF STATION (PCS): Moving/Relocation expenses are not authorized. DIRECT DEPOSIT: All Federal employees are required to have Federal salary payments made by direct deposit to a financial institution of their choosing. This position is not in the collective bargaining unit. This position is eligible to request telework in accordance with the SEC 's telework policy. Existing Participants in the SEC's Remote Telework Program are eligible to apply for this position. If selected, management will evaluate and communicate whether the position will allow for continued participation in Remote Telework. This position is open to well-qualified surplus/displaced Federal employees (i.e. CTAP) in the local area and current SEC employees in permanent competitive service positions (i.e. status candidates). Qualifications All qualification requirements must be met by the closing date of this announcement.
Time-in-grade for this announcement is one year at the GS/SK-14 level.
Qualifying experience may be obtained in the private or public sector. Experience refers to paid and unpaid experience, including volunteer work done through National Service programs (e.g., Peace Corps, AmeriCorps) and other organizations (e.g., professional; philanthropic; religious; spiritual; community, student, social). Volunteer work helps build critical competencies, knowledge, and skills and can provide valuable training and experience that translates directly to paid employment. You will receive credit for all qualifying experience, including volunteer experience. MINIMUM QUALIFICATION REQUIREMENT :
SK-17: Applicant must have at least one year of specialized experience equivalent to the GS/SK-14level:
(1) Conducting compliance inspections, examinations, investigations, and/or audits of broker-dealers, clearing agencies, transfer agents, municipal advisers, investment advisers, investment companies and/or other self-regulatory organizations; AND(2) Leading teams of staff with varying backgrounds (e.g., legal, accounting, examining); AND
(3) Identifying emerging risks and issues affecting financial institutions. Additional information Disability Employment: For information on disability appointments, please visit http://www.opm.gov/policy-data-oversight/disability-employment/ IMPORTANT INFORMATION FOR SURPLUS OR DISPLACED FEDERAL EMPLOYEES: Career Transition Assistance Plan (CTAP) is available to individuals who have special priority selection rights under this plan. Individuals must be well-qualified for this position to receive consideration for special priority selection. CTAP eligibles will be considered well-qualified when receiving an adjudicated score of 80 or higher. Reasonable Accommodation: If you are an applicant who needs a reasonable accommodation for disability to participate in the application process at the SEC, submit the form for Reasonable Accommodation for Participation in Job Application Process here . Please be sure to submit your request at least 5 business days in advance of the date you need the requested accommodation. Equal Employment Opportunity (EEO) Information for SEC Job Applicants: Federal EEO laws protect all applicants from discrimination on the following bases: race, color, sex (not limited to conduct which is sexual in nature, includes pregnancy, gender identity, sexual orientation, transgender status), age (40 and over), religion, national origin, disability, genetic information, retaliation for participating in the EEO process or opposing discrimination. Applicants who believe they have been discriminated against on any EEO basis can seek recourse through the SEC's administrative complaints process. To be timely, an individual must enter the EEO process within 45 days from when they know (or should have known) of the alleged discrimination. Click here for additional information. Read more Benefits
A career with the U.S. government provides employees with a comprehensive benefits package. As a federal employee, you and your family will have access to a range of benefits that are designed to make your federal career very rewarding. Opens in a new window Learn more about federal benefits .
Review our benefits Eligibility for benefits depends on the type of position you hold and whether your position is full-time, part-time or intermittent. Contact the hiring agency for more information on the specific benefits offered. Required Documents
You must provide a complete Application Package, which includes:
Required : Your responses to the Online Assessment Questionnaire. Required: Your complete and comprehensive resume that includes a complete history of your work experience and the applicable employment dates with months and years. It is recommended that your resume include thetitle, series, and grade (e.g. SK-0301-12) for all relevant Federal experience . To determine if you qualify for this position, OHR will review your work history that is relevant to the specific position for which you applied. If you are a current SEC employee selected for this position, the standard percentage increases will be applied (i.e., 6% for non-supervisory and 10% for supervisory positions) if your selection results in a promotion. If your selection results in lateral movement (i.e. no change in grade) you will maintain your current salary. If your selection results in a change in grade from an SK-15 to an SK-16 you will maintain your current salary.Note: Your resume must directly address the definition of specialized experience listed in the qualification section of this announcement and must NOT contain pictures. Required, if applicable : CTAP documentation (a copy of a separation notice or other proof of eligibility for priority selection; a copy of an SF-50, Notification of Personnel Action, showing current position, grade, promotion potential, and duty location; AND a copy of your most recent performance appraisal.) *SEC EMPLOYEES : OHR will verify your competitive service eligibility via the SEC's personnel database.
If you are relying on your education to meet qualification requirements:
Education must be accredited by an accrediting institution recognized by the U.S. Department of Education in order for it to be credited towards qualifications. Therefore, provide only the attendance and/or degrees from
schools accredited by accrediting institutions recognized by the U.S. Department of Education .
Failure to provide all of the required information as stated in this vacancy announcement may result in an ineligible rating or may affect the overall rating.
Full-time
Duties
At the Securities and Exchange Commission (SEC), we are committed to diversity, equity, inclusion and accessibility (DEIA) and value a workforce that reflects the diverse experiences and perspectives of the communities we serve. As such, we welcome applications from qualified individuals of all backgrounds who share our commitment to public service.
If selected, you will join a well-respected team in the Division that is responsible for providing expert examination guidance and leadership for sensitive and complex programs, issues, and problems dealing with examination or inspection activities for areas of program emphasis such as self-regulatory organizations, broker-dealers, transfer agents, clearing agencies, investment companies, and investment advisers.
As a Supervisory Securities Compliance Examiner, you will:
Plan and assign work, advising on program goals and objectives, making decisions on work problems, and organizing and monitoring the flow of work for the assigned programs in order to achieve the most effective results within a complex environment; Direct staff performing extensive and extremely complex inspections or examinations, working with the field offices, reviewing reports and recommendations; Provide advice on novel questions, analyzing industry trends, and following-up to ensure that recommendations are implemented by the industry; Attend and participate in meetings and conferences where crucial policy formulation, procedural development, and program planning matters are discussed and agency positions developed; Provide executive leadership and management of the staff and work products by maintaining and exhibiting knowledge, insight, and understanding of the assigned specialized segment of the market; monitoring new or unchartered marketing or financial techniques and developments that impacts SEC decisions; and Represent the agency in high level meetings, conferences, and presentations involving a wide range of participants such as regulatory or law enforcement agencies; state, local, national, or international government offices; private industry; and the academic community. Requirements Conditions of Employment You must be a US Citizen. Application procedures are specific to this vacancy announcement. Please read all the instructions carefully. Failure to follow the instructions may result in you not being considered for this position. Supplementary vacancies may be filled in addition to the number stated in this announcement. This position has promotion potential to the SK-17. PROBATIONARY PERIOD: This appointment may require completion of a two-year probationary period. SECURITY CLEARANCE: Entrance on duty is contingent upon completion of a pre-employment security investigation. Favorable results on a Background Investigation may be a condition of employment or selection to another position. DRUG TESTING: This position may be subjected to drug testing requirements. PERMANENT CHANGE OF STATION (PCS): Moving/Relocation expenses are not authorized. DIRECT DEPOSIT: All Federal employees are required to have Federal salary payments made by direct deposit to a financial institution of their choosing. This position is not in the collective bargaining unit. This position is eligible to request telework in accordance with the SEC 's telework policy. Existing Participants in the SEC's Remote Telework Program are eligible to apply for this position. If selected, management will evaluate and communicate whether the position will allow for continued participation in Remote Telework. This position is open to well-qualified surplus/displaced Federal employees (i.e. CTAP) in the local area and current SEC employees in permanent competitive service positions (i.e. status candidates). Qualifications All qualification requirements must be met by the closing date of this announcement.
Time-in-grade for this announcement is one year at the GS/SK-14 level.
Qualifying experience may be obtained in the private or public sector. Experience refers to paid and unpaid experience, including volunteer work done through National Service programs (e.g., Peace Corps, AmeriCorps) and other organizations (e.g., professional; philanthropic; religious; spiritual; community, student, social). Volunteer work helps build critical competencies, knowledge, and skills and can provide valuable training and experience that translates directly to paid employment. You will receive credit for all qualifying experience, including volunteer experience. MINIMUM QUALIFICATION REQUIREMENT :
SK-17: Applicant must have at least one year of specialized experience equivalent to the GS/SK-14level:
(1) Conducting compliance inspections, examinations, investigations, and/or audits of broker-dealers, clearing agencies, transfer agents, municipal advisers, investment advisers, investment companies and/or other self-regulatory organizations; AND(2) Leading teams of staff with varying backgrounds (e.g., legal, accounting, examining); AND
(3) Identifying emerging risks and issues affecting financial institutions. Additional information Disability Employment: For information on disability appointments, please visit http://www.opm.gov/policy-data-oversight/disability-employment/ IMPORTANT INFORMATION FOR SURPLUS OR DISPLACED FEDERAL EMPLOYEES: Career Transition Assistance Plan (CTAP) is available to individuals who have special priority selection rights under this plan. Individuals must be well-qualified for this position to receive consideration for special priority selection. CTAP eligibles will be considered well-qualified when receiving an adjudicated score of 80 or higher. Reasonable Accommodation: If you are an applicant who needs a reasonable accommodation for disability to participate in the application process at the SEC, submit the form for Reasonable Accommodation for Participation in Job Application Process here . Please be sure to submit your request at least 5 business days in advance of the date you need the requested accommodation. Equal Employment Opportunity (EEO) Information for SEC Job Applicants: Federal EEO laws protect all applicants from discrimination on the following bases: race, color, sex (not limited to conduct which is sexual in nature, includes pregnancy, gender identity, sexual orientation, transgender status), age (40 and over), religion, national origin, disability, genetic information, retaliation for participating in the EEO process or opposing discrimination. Applicants who believe they have been discriminated against on any EEO basis can seek recourse through the SEC's administrative complaints process. To be timely, an individual must enter the EEO process within 45 days from when they know (or should have known) of the alleged discrimination. Click here for additional information. Read more Benefits
A career with the U.S. government provides employees with a comprehensive benefits package. As a federal employee, you and your family will have access to a range of benefits that are designed to make your federal career very rewarding. Opens in a new window Learn more about federal benefits .
Review our benefits Eligibility for benefits depends on the type of position you hold and whether your position is full-time, part-time or intermittent. Contact the hiring agency for more information on the specific benefits offered. Required Documents
You must provide a complete Application Package, which includes:
Required : Your responses to the Online Assessment Questionnaire. Required: Your complete and comprehensive resume that includes a complete history of your work experience and the applicable employment dates with months and years. It is recommended that your resume include thetitle, series, and grade (e.g. SK-0301-12) for all relevant Federal experience . To determine if you qualify for this position, OHR will review your work history that is relevant to the specific position for which you applied. If you are a current SEC employee selected for this position, the standard percentage increases will be applied (i.e., 6% for non-supervisory and 10% for supervisory positions) if your selection results in a promotion. If your selection results in lateral movement (i.e. no change in grade) you will maintain your current salary. If your selection results in a change in grade from an SK-15 to an SK-16 you will maintain your current salary.Note: Your resume must directly address the definition of specialized experience listed in the qualification section of this announcement and must NOT contain pictures. Required, if applicable : CTAP documentation (a copy of a separation notice or other proof of eligibility for priority selection; a copy of an SF-50, Notification of Personnel Action, showing current position, grade, promotion potential, and duty location; AND a copy of your most recent performance appraisal.) *SEC EMPLOYEES : OHR will verify your competitive service eligibility via the SEC's personnel database.
If you are relying on your education to meet qualification requirements:
Education must be accredited by an accrediting institution recognized by the U.S. Department of Education in order for it to be credited towards qualifications. Therefore, provide only the attendance and/or degrees from
schools accredited by accrediting institutions recognized by the U.S. Department of Education .
Failure to provide all of the required information as stated in this vacancy announcement may result in an ineligible rating or may affect the overall rating.
Duties
At the Securities and Exchange Commission (SEC), we are committed to diversity, equity, inclusion and accessibility (DEIA) and value a workforce that reflects the diverse experiences and perspectives of the communities we serve. As such, we welcome applications from qualified individuals of all backgrounds who share our commitment to public service.
The Division of Examinations' mission is to protect investors, ensure market integrity and support responsible capital formation through risk-focused strategies that: (1) improve compliance; (2) prevent fraud; (3) monitor risk; and (4) inform policy. The results of the Division's examinations are used by the SEC to inform rule-making initiatives, identify and monitor risks, improve industry practices and pursue misconduct.
If selected, you will join a well-respected team that is responsible for supporting EXAMS' mission to conduct and coordinate the nationwide examination program for entities over which the Commission has regulatory authority.
As a Supervisory Securities Compliance Examiner, you will: Plan and assign work, advising on program goals and objectives, making decisions on work problems, and organizing and monitoring the flow of work for the assigned programs in order to achieve the most effective results within a complex environment; Direct staff performing extensive and extremely complex inspections or examinations on activities of self-regulatory organizations, broker-dealers, transfer agents, clearing agencies, investment companies, and/or investment advisers, working with the field offices, reviewing reports and recommendations; Provide advice on novel questions, analyzing industry trends, and following-up to ensure that recommendations are implemented by the industry; Attend and participate in meetings and conferences where crucial policy formulation, procedural development, and program planning matters are discussed and agency positions developed; Provide executive leadership and management of the staff and work products by maintaining and exhibiting knowledge, insight, and understanding of the assigned specialized segment of the market; monitoring new or unchartered marketing or financial techniques and developments that impacts SEC decisions; and Represent the agency in high level meetings, conferences, and presentations involving a wide range of participants such as regulatory or law enforcement agencies; state, local, national, or international government offices; private industry; and the academic community. Requirements Conditions of Employment You must be a US Citizen. Application procedures are specific to this vacancy announcement. Please read all the instructions carefully. Failure to follow the instructions may result in you not being considered for this position. Supplementary vacancies may be filled in addition to the number stated in this announcement. This position has promotion potential to the SK-17 SUPERVISORY PROBATIONARY PERIOD: This appointment may require completion of a two-year supervisory probationary period. SECURITY CLEARANCE: Entrance on duty is contingent upon completion of a pre-employment security investigation. Favorable results on a Background Investigation may be a condition of employment or selection to another position. DRUG TESTING: This position may be subjected to drug testing requirements. PERMANENT CHANGE OF STATION (PCS): Moving/Relocation expenses are not authorized. DIRECT DEPOSIT: All Federal employees are required to have Federal salary payments made by direct deposit to a financial institution of their choosing. This position is not in the collective bargaining unit. This position is eligible to request telework in accordance with the SEC 's telework policy. Existing Participants in the SEC's Remote Telework Program are eligible to apply for this position. If selected, management will evaluate and communicate whether the position will allow for continued participation in Remote Telework. Typical Examiner Travel: Examination staff routinely travel to the offices of registered entities to conduct on-site inspections of facilities, to meet with and interview entity personnel, and to examine certain business records. Qualifications All qualification requirements must be met by the closing date of this announcement. SK-17: Time-in-grade for this announcement is one year at the GS/SK-14 level.
Qualifying experience may be obtained in the private or public sector. Experience refers to paid and unpaid experience, including volunteer work done through National Service programs (e.g., Peace Corps, AmeriCorps) and other organizations (e.g., professional; philanthropic; religious; spiritual; community, student, social). Volunteer work helps build critical competencies, knowledge, and skills and can provide valuable training and experience that translates directly to paid employment. You will receive credit for all qualifying experience, including volunteer experience. MINIMUM QUALIFICATION REQUIREMENT : SK-17: Applicant must have at least one year of specialized experience equivalent to the GS/SK-14 level . Specialized Experience is the following below:
Conducting compliance inspections, examinations, investigations, and/or audits of broker-dealers, clearing agencies, transfer agents, municipal advisers, investment advisers, investment companies and/or other self-regulatory organizations; AND Leading teams of staff with varying backgrounds (e.g., legal, accounting, examining); AND Identifying emerging risks and issues affecting financial institutions. Education
This job does not have an education qualification requirement.
Additional information SEC COMPENSATION PROGRAM: The overall salary range listed above is provided for informational purposes as it represents the full range that is applicable to current employees in this occupation/grade; however, a selectee's initial pay is always set below the maximum rate of the range. Please click here for additional information. Disability Employment: For information on disability appointments, please visit http://www.opm.gov/policy-data-oversight/disability-employment/ IMPORTANT INFORMATION FOR SURPLUS OR DISPLACED FEDERAL EMPLOYEES: Career Transition Assistance Plan (CTAP) and Interagency Career Transition Assistance Plan (ICTAP) are available to individuals who have special priority selection rights under this plan. Individuals must be well-qualified for this position to receive consideration for special priority selection. CTAP or ICTAP eligibles will be considered well-qualified when receiving an adjudicated score of 80 or higher. Veterans Employment Opportunity Act (VEOA): To be eligible for a VEOA appointment under Merit Promotion procedures, you must be a preference eligible or a Veteran separated after 3 years or more of continuous active service performed under honorable conditions. LAND MANAGEMENT WORKFORCE FLEXIBILITY ACT (LMWFA): The LMWFA provides current or former temporary or term employees of federal land management agencies opportunity to compete for permanent competitive service positions. Individuals must have more than 24 months of service without a break between appointments of two or more years. Service must be in the competitive service and have been at a successful level of performance or better. For more information, click here . Noncompetitive Appointment Authorities: For more information on noncompetitive appointment authority eligibility requirements:
Persons with Disabilities-Schedule A Special Hiring Authorities for Veterans Special Hiring Authority for Certain Military Spouses Other Special Appointment Authorities Reasonable Accommodation: If you are an applicant who needs a reasonable accommodation for disability to participate in the application process at the SEC, submit the form for Reasonable Accommodation for Participation in Job Application Process here . Please be sure to submit your request at least 5 business days in advance of the date you need the requested accommodation. Equal Employment Opportunity (EEO) Information for SEC Job Applicants: Federal EEO laws protect all applicants from discrimination on the following bases: race, color, sex (not limited to conduct which is sexual in nature, includes pregnancy, gender identity, sexual orientation, transgender status), age (40 and over), religion, national origin, disability, genetic information, retaliation for participating in the EEO process or opposing discrimination. Applicants who believe they have been discriminated against on any EEO basis can seek recourse through the SEC's administrative complaints process. To be timely, an individual must enter the EEO process within 45 days from when they know (or should have known) of the alleged discrimination. Click here for additional information. Read more Benefits
A career with the U.S. government provides employees with a comprehensive benefits package. As a federal employee, you and your family will have access to a range of benefits that are designed to make your federal career very rewarding. Opens in a new window Learn more about federal benefits .
Review our benefits Eligibility for benefits depends on the type of position you hold and whether your position is full-time, part-time or intermittent. Contact the hiring agency for more information on the specific benefits offered. Required Documents
You must provide a complete Application Package, which includes:
Required : Your responses to the Occupational Questionnaire. Required: Your complete and comprehensive resume that includes a complete history of your work experience and the applicable employment dates with months and years. If you are a current or former Federal employee, it is recommended that your resume include thetitle, series, and grade (e.g. SK-0301-12) for all relevant Federal experience . To determine if you qualify for this position, OHR will review your work history that is relevant to the specific position for which you applied. If you are an external candidate selected for this position, OHR will review your complete work history to establish your starting salary.. If you are a current SEC employee selected for this position, the standard percentage increases will be applied (i.e., 6% for non-supervisory and 10% for supervisory positions) if your selection results in a promotion. If your selection results in lateral movement (i.e. no change in grade) you will maintain your current salary. If your selection results in a change in grade from an SK-15 to an SK-16 you will maintain your current salary.Note: Your resume must directly address the definition of specialized experience listed in the qualification section of this announcement and must NOT contain pictures. For external candidates: Information on how your resume will be used for pay setting purposes can be found here . Required, if you are a current or former Federal employee* : Your most recent Promotion, Within Grade Increase (i.e. WGI), or Appointment/Conversion SF-50 or non-award Notification of Personnel Action (if applying as a current or former Federal Employee) must show you are/were in the competitive service and the highest grade or promotion potential held. Note: If you are in the excepted service, your current agency must have an interchange agreement with OPM - for a list of agencies with current interchange agreements please click here . Required, if applicable : CTAP/ICTAP documentation (a copy of a separation notice or other proof of eligibility for priority selection; a copy of an SF-50, Notification of Personnel Action, showing current position, grade, promotion potential, and duty location; AND a copy of your most recent performance appraisal.) Required, if applicable: VEOA documentation (DD-214, member 4 copy or other documentation containing dates of service and character of discharge.) Required, if applicable: Special Hiring Authority eligibility documentation (VA letter, Schedule A eligibility letter, Peace Corp letter, etc) Required, if applicable : Land Management Workforce Flexibility Act supporting documentation. *SEC EMPLOYEES : OHR will verify your competitive service eligibility via the SEC's personnel database.
Full-time
Duties
At the Securities and Exchange Commission (SEC), we are committed to diversity, equity, inclusion and accessibility (DEIA) and value a workforce that reflects the diverse experiences and perspectives of the communities we serve. As such, we welcome applications from qualified individuals of all backgrounds who share our commitment to public service.
The Division of Examinations' mission is to protect investors, ensure market integrity and support responsible capital formation through risk-focused strategies that: (1) improve compliance; (2) prevent fraud; (3) monitor risk; and (4) inform policy. The results of the Division's examinations are used by the SEC to inform rule-making initiatives, identify and monitor risks, improve industry practices and pursue misconduct.
If selected, you will join a well-respected team that is responsible for supporting EXAMS' mission to conduct and coordinate the nationwide examination program for entities over which the Commission has regulatory authority.
As a Supervisory Securities Compliance Examiner, you will: Plan and assign work, advising on program goals and objectives, making decisions on work problems, and organizing and monitoring the flow of work for the assigned programs in order to achieve the most effective results within a complex environment; Direct staff performing extensive and extremely complex inspections or examinations on activities of self-regulatory organizations, broker-dealers, transfer agents, clearing agencies, investment companies, and/or investment advisers, working with the field offices, reviewing reports and recommendations; Provide advice on novel questions, analyzing industry trends, and following-up to ensure that recommendations are implemented by the industry; Attend and participate in meetings and conferences where crucial policy formulation, procedural development, and program planning matters are discussed and agency positions developed; Provide executive leadership and management of the staff and work products by maintaining and exhibiting knowledge, insight, and understanding of the assigned specialized segment of the market; monitoring new or unchartered marketing or financial techniques and developments that impacts SEC decisions; and Represent the agency in high level meetings, conferences, and presentations involving a wide range of participants such as regulatory or law enforcement agencies; state, local, national, or international government offices; private industry; and the academic community. Requirements Conditions of Employment You must be a US Citizen. Application procedures are specific to this vacancy announcement. Please read all the instructions carefully. Failure to follow the instructions may result in you not being considered for this position. Supplementary vacancies may be filled in addition to the number stated in this announcement. This position has promotion potential to the SK-17 SUPERVISORY PROBATIONARY PERIOD: This appointment may require completion of a two-year supervisory probationary period. SECURITY CLEARANCE: Entrance on duty is contingent upon completion of a pre-employment security investigation. Favorable results on a Background Investigation may be a condition of employment or selection to another position. DRUG TESTING: This position may be subjected to drug testing requirements. PERMANENT CHANGE OF STATION (PCS): Moving/Relocation expenses are not authorized. DIRECT DEPOSIT: All Federal employees are required to have Federal salary payments made by direct deposit to a financial institution of their choosing. This position is not in the collective bargaining unit. This position is eligible to request telework in accordance with the SEC 's telework policy. Existing Participants in the SEC's Remote Telework Program are eligible to apply for this position. If selected, management will evaluate and communicate whether the position will allow for continued participation in Remote Telework. Typical Examiner Travel: Examination staff routinely travel to the offices of registered entities to conduct on-site inspections of facilities, to meet with and interview entity personnel, and to examine certain business records. Qualifications All qualification requirements must be met by the closing date of this announcement. SK-17: Time-in-grade for this announcement is one year at the GS/SK-14 level.
Qualifying experience may be obtained in the private or public sector. Experience refers to paid and unpaid experience, including volunteer work done through National Service programs (e.g., Peace Corps, AmeriCorps) and other organizations (e.g., professional; philanthropic; religious; spiritual; community, student, social). Volunteer work helps build critical competencies, knowledge, and skills and can provide valuable training and experience that translates directly to paid employment. You will receive credit for all qualifying experience, including volunteer experience. MINIMUM QUALIFICATION REQUIREMENT : SK-17: Applicant must have at least one year of specialized experience equivalent to the GS/SK-14 level . Specialized Experience is the following below:
Conducting compliance inspections, examinations, investigations, and/or audits of broker-dealers, clearing agencies, transfer agents, municipal advisers, investment advisers, investment companies and/or other self-regulatory organizations; AND Leading teams of staff with varying backgrounds (e.g., legal, accounting, examining); AND Identifying emerging risks and issues affecting financial institutions. Education
This job does not have an education qualification requirement.
Additional information SEC COMPENSATION PROGRAM: The overall salary range listed above is provided for informational purposes as it represents the full range that is applicable to current employees in this occupation/grade; however, a selectee's initial pay is always set below the maximum rate of the range. Please click here for additional information. Disability Employment: For information on disability appointments, please visit http://www.opm.gov/policy-data-oversight/disability-employment/ IMPORTANT INFORMATION FOR SURPLUS OR DISPLACED FEDERAL EMPLOYEES: Career Transition Assistance Plan (CTAP) and Interagency Career Transition Assistance Plan (ICTAP) are available to individuals who have special priority selection rights under this plan. Individuals must be well-qualified for this position to receive consideration for special priority selection. CTAP or ICTAP eligibles will be considered well-qualified when receiving an adjudicated score of 80 or higher. Veterans Employment Opportunity Act (VEOA): To be eligible for a VEOA appointment under Merit Promotion procedures, you must be a preference eligible or a Veteran separated after 3 years or more of continuous active service performed under honorable conditions. LAND MANAGEMENT WORKFORCE FLEXIBILITY ACT (LMWFA): The LMWFA provides current or former temporary or term employees of federal land management agencies opportunity to compete for permanent competitive service positions. Individuals must have more than 24 months of service without a break between appointments of two or more years. Service must be in the competitive service and have been at a successful level of performance or better. For more information, click here . Noncompetitive Appointment Authorities: For more information on noncompetitive appointment authority eligibility requirements:
Persons with Disabilities-Schedule A Special Hiring Authorities for Veterans Special Hiring Authority for Certain Military Spouses Other Special Appointment Authorities Reasonable Accommodation: If you are an applicant who needs a reasonable accommodation for disability to participate in the application process at the SEC, submit the form for Reasonable Accommodation for Participation in Job Application Process here . Please be sure to submit your request at least 5 business days in advance of the date you need the requested accommodation. Equal Employment Opportunity (EEO) Information for SEC Job Applicants: Federal EEO laws protect all applicants from discrimination on the following bases: race, color, sex (not limited to conduct which is sexual in nature, includes pregnancy, gender identity, sexual orientation, transgender status), age (40 and over), religion, national origin, disability, genetic information, retaliation for participating in the EEO process or opposing discrimination. Applicants who believe they have been discriminated against on any EEO basis can seek recourse through the SEC's administrative complaints process. To be timely, an individual must enter the EEO process within 45 days from when they know (or should have known) of the alleged discrimination. Click here for additional information. Read more Benefits
A career with the U.S. government provides employees with a comprehensive benefits package. As a federal employee, you and your family will have access to a range of benefits that are designed to make your federal career very rewarding. Opens in a new window Learn more about federal benefits .
Review our benefits Eligibility for benefits depends on the type of position you hold and whether your position is full-time, part-time or intermittent. Contact the hiring agency for more information on the specific benefits offered. Required Documents
You must provide a complete Application Package, which includes:
Required : Your responses to the Occupational Questionnaire. Required: Your complete and comprehensive resume that includes a complete history of your work experience and the applicable employment dates with months and years. If you are a current or former Federal employee, it is recommended that your resume include thetitle, series, and grade (e.g. SK-0301-12) for all relevant Federal experience . To determine if you qualify for this position, OHR will review your work history that is relevant to the specific position for which you applied. If you are an external candidate selected for this position, OHR will review your complete work history to establish your starting salary.. If you are a current SEC employee selected for this position, the standard percentage increases will be applied (i.e., 6% for non-supervisory and 10% for supervisory positions) if your selection results in a promotion. If your selection results in lateral movement (i.e. no change in grade) you will maintain your current salary. If your selection results in a change in grade from an SK-15 to an SK-16 you will maintain your current salary.Note: Your resume must directly address the definition of specialized experience listed in the qualification section of this announcement and must NOT contain pictures. For external candidates: Information on how your resume will be used for pay setting purposes can be found here . Required, if you are a current or former Federal employee* : Your most recent Promotion, Within Grade Increase (i.e. WGI), or Appointment/Conversion SF-50 or non-award Notification of Personnel Action (if applying as a current or former Federal Employee) must show you are/were in the competitive service and the highest grade or promotion potential held. Note: If you are in the excepted service, your current agency must have an interchange agreement with OPM - for a list of agencies with current interchange agreements please click here . Required, if applicable : CTAP/ICTAP documentation (a copy of a separation notice or other proof of eligibility for priority selection; a copy of an SF-50, Notification of Personnel Action, showing current position, grade, promotion potential, and duty location; AND a copy of your most recent performance appraisal.) Required, if applicable: VEOA documentation (DD-214, member 4 copy or other documentation containing dates of service and character of discharge.) Required, if applicable: Special Hiring Authority eligibility documentation (VA letter, Schedule A eligibility letter, Peace Corp letter, etc) Required, if applicable : Land Management Workforce Flexibility Act supporting documentation. *SEC EMPLOYEES : OHR will verify your competitive service eligibility via the SEC's personnel database.
Duties
At the SEC, we are committed to diversity, equity, inclusion and accessibility (DEIA) and value a workforce that reflects the diverse experiences and perspectives of the communities we serve. As such, we welcome applications from qualified individuals of all backgrounds who share our commitment to public service.
The Division of Examinations' mission is to protect investors, ensure market integrity and support responsible capital formation through risk-focused strategies that: (1) improve compliance; (2) prevent fraud; (3) monitor risk; and (4) inform policy. The results of the Division's examinations are used by the SEC to inform rule-making initiatives, identify and monitor risks, improve industry practices and pursue misconduct.
If selected, you will join a well-respected team that is responsible for supporting EXAMS' mission to conduct and coordinate the nationwide examination program for entities over which the Commission has regulatory authority.
As a Supervisory Securities Compliance Examiner, you will: Plan and assign work, advising on program goals and objectives, making decisions on work problems, and organizing and monitoring the flow of work for the assigned programs in order to achieve the most effective results within a complex environment; Direct staff performing extensive and extremely complex inspections or examinations on activities of self-regulatory organizations, broker-dealers, transfer agents, clearing agencies, investment companies, and/or investment advisers, working with the field offices, reviewing reports and recommendations; Provide advice on novel questions, analyzing industry trends, and following-up to ensure that recommendations are implemented by the industry; Attend and participate in meetings and conferences where crucial policy formulation, procedural development, and program planning matters are discussed and agency positions developed; Provide executive leadership and management of the staff and work products by maintaining and exhibiting knowledge, insight, and understanding of the assigned specialized segment of the market; monitoring new or unchartered marketing or financial techniques and developments that impacts SEC decisions; and Represent the agency in high level meetings, conferences, and presentations involving a wide range of participants such as regulatory or law enforcement agencies; state, local, national, or international government offices; private industry; and the academic community. Requirements Conditions of Employment You must be a US Citizen. Application procedures are specific to this vacancy announcement. Please read all the instructions carefully. Failure to follow the instructions may result in you not being considered for this position. Supplementary vacancies may be filled in addition to the number stated in this announcement. This position has promotion potential to the SK-17 SUPERVISORY PROBATIONARY PERIOD: This appointment may require completion of a two-year supervisory probationary period. SECURITY CLEARANCE: Entrance on duty is contingent upon completion of a pre-employment security investigation. Favorable results on a Background Investigation may be a condition of employment or selection to another position. DRUG TESTING: This position may be subjected to drug testing requirements. PERMANENT CHANGE OF STATION (PCS): Moving/Relocation expenses are not authorized. DIRECT DEPOSIT: All Federal employees are required to have Federal salary payments made by direct deposit to a financial institution of their choosing. This position is not in the collective bargaining unit. This position is eligible to request telework in accordance with the SEC 's telework policy. Existing Participants in the SEC's Remote Telework Program are eligible to apply for this position. If selected, management will evaluate and communicate whether the position will allow for continued participation in Remote Telework. Typical Examiner Travel: Examination staff routinely travel to the offices of registered entities to conduct on-site inspections of facilities, to meet with and interview entity personnel, and to examine certain business records. Qualifications All qualification requirements must be met by the closing date of this announcement.
Qualifying experience may be obtained in the private or public sector. Experience refers to paid and unpaid experience, including volunteer work done through National Service programs (e.g., Peace Corps, AmeriCorps) and other organizations (e.g., professional; philanthropic; religious; spiritual; community, student, social). Volunteer work helps build critical competencies, knowledge, and skills and can provide valuable training and experience that translates directly to paid employment. You will receive credit for all qualifying experience, including volunteer experience. Qualifying education must have been obtained from an accredited college or university recognized by the U.S. Department of Education. MINIMUM QUALIFICATION REQUIREMENT : SK-17: Applicant must have at least one year of specialized experience equivalent to the GS/SK-14 level . Specialized Experience is the following below:
Conducting compliance inspections, examinations, investigations, and/or audits of broker-dealers, clearing agencies, transfer agents, municipal advisers, investment advisers, investment companies and/or other self-regulatory organizations; AND Leading teams of staff with varying backgrounds (e.g., legal, accounting, examining); AND Identifying emerging risks and issues affecting financial institutions. Education
This job does not have an education qualification requirement.
Additional information SEC COMPENSATION PROGRAM: The overall salary range listed above is provided for informational purposes as it represents the full range that is applicable to current employees in this occupation/grade; however, a selectee's initial pay is always set below the maximum rate of the range. Please click here for additional information. IMPORTANT INFORMATION FOR SURPLUS OR DISPLACED FEDERAL EMPLOYEES : Career Transition Assistance Plan (CTAP) and Interagency Career Transition Assistance Plan (ICTAP) are available to individuals who have special priority selection rights under this plan. Individuals must be well-qualified for this position to receive consideration for special priority selection. CTAP or ICTAP eligibles will be considered well-qualified when receiving an adjudicated score of 80 or higher. Reasonable Accommodation: If you are an applicant who needs a reasonable accommodation for disability to participate in the application process at the SEC, submit the form for Reasonable Accommodation for Participation in Job Application Process here . Please be sure to submit your request at least 5 business days in advance of the date you need the requested accommodation. Equal Employment Opportunity (EEO) Information for SEC Job Applicants: Federal EEO laws protect all applicants from discrimination on the following bases: race, color, sex (not limited to conduct which is sexual in nature, includes pregnancy, gender identity, sexual orientation, transgender status), age (40 and over), religion, national origin, disability, genetic information, retaliation for participating in the EEO process or opposing discrimination. Applicants who believe they have been discriminated against on any EEO basis can seek recourse through the SEC's administrative complaints process. To be timely, an individual must enter the EEO process within 45 days from when they know (or should have known) of the alleged discrimination. Click here for additional information. Read more Benefits
A career with the U.S. government provides employees with a comprehensive benefits package. As a federal employee, you and your family will have access to a range of benefits that are designed to make your federal career very rewarding. Opens in a new window Learn more about federal benefits .
Review our benefits Eligibility for benefits depends on the type of position you hold and whether your position is full-time, part-time or intermittent. Contact the hiring agency for more information on the specific benefits offered. Required Documents
You must provide a complete Application Package, which includes:
Required : Your responses to the Occupational Questionnaire. Required : Your complete and comprehensive resume that includes a complete history of your work experience and the applicable employment dates with months and years. To determine if you qualify for this position, OHR will review your work history that is relevant to the specific position for which you applied. If you are an external candidate selected for this position, OHR will review your complete work history to establish your starting salary.If you are a current SEC employee selected for this position, the standard percentage increases will be applied (i.e., 6% for non-supervisory and 10% for supervisory positions) if your selection results in a promotion. If your selection results in lateral movement (i.e. no change in grade) you will maintain your current salary. If your selection results in a change in grade from an SK-15 to an SK-16 you will maintain your current salary. Note : Your resume must directly address the definition of specialized experience listed in the qualification section of this announcement and must NOT contain pictures. For external candidates: Information on how your resume will be used for pay setting purposes can be found here . Required, if applicable: CTAP/ICTAP documentation (a copy of a separation notice or other proof of eligibility for priority selection; a copy of an SF-50, Notification of Personnel Action, showing current position, grade, promotion potential, and duty location; AND a copy of your most recent performance appraisal.) Required, if applicable : Veteran's Preference Documentation (DD-214, Member Copy 4 or other documentation containing dates of service and character of discharge. Disabled veterans and other applicants eligible for 10-point Veteran's Preference please include: documentation to validate your claim - VA letter, SF-15, etc).
Full-time
Duties
At the SEC, we are committed to diversity, equity, inclusion and accessibility (DEIA) and value a workforce that reflects the diverse experiences and perspectives of the communities we serve. As such, we welcome applications from qualified individuals of all backgrounds who share our commitment to public service.
The Division of Examinations' mission is to protect investors, ensure market integrity and support responsible capital formation through risk-focused strategies that: (1) improve compliance; (2) prevent fraud; (3) monitor risk; and (4) inform policy. The results of the Division's examinations are used by the SEC to inform rule-making initiatives, identify and monitor risks, improve industry practices and pursue misconduct.
If selected, you will join a well-respected team that is responsible for supporting EXAMS' mission to conduct and coordinate the nationwide examination program for entities over which the Commission has regulatory authority.
As a Supervisory Securities Compliance Examiner, you will: Plan and assign work, advising on program goals and objectives, making decisions on work problems, and organizing and monitoring the flow of work for the assigned programs in order to achieve the most effective results within a complex environment; Direct staff performing extensive and extremely complex inspections or examinations on activities of self-regulatory organizations, broker-dealers, transfer agents, clearing agencies, investment companies, and/or investment advisers, working with the field offices, reviewing reports and recommendations; Provide advice on novel questions, analyzing industry trends, and following-up to ensure that recommendations are implemented by the industry; Attend and participate in meetings and conferences where crucial policy formulation, procedural development, and program planning matters are discussed and agency positions developed; Provide executive leadership and management of the staff and work products by maintaining and exhibiting knowledge, insight, and understanding of the assigned specialized segment of the market; monitoring new or unchartered marketing or financial techniques and developments that impacts SEC decisions; and Represent the agency in high level meetings, conferences, and presentations involving a wide range of participants such as regulatory or law enforcement agencies; state, local, national, or international government offices; private industry; and the academic community. Requirements Conditions of Employment You must be a US Citizen. Application procedures are specific to this vacancy announcement. Please read all the instructions carefully. Failure to follow the instructions may result in you not being considered for this position. Supplementary vacancies may be filled in addition to the number stated in this announcement. This position has promotion potential to the SK-17 SUPERVISORY PROBATIONARY PERIOD: This appointment may require completion of a two-year supervisory probationary period. SECURITY CLEARANCE: Entrance on duty is contingent upon completion of a pre-employment security investigation. Favorable results on a Background Investigation may be a condition of employment or selection to another position. DRUG TESTING: This position may be subjected to drug testing requirements. PERMANENT CHANGE OF STATION (PCS): Moving/Relocation expenses are not authorized. DIRECT DEPOSIT: All Federal employees are required to have Federal salary payments made by direct deposit to a financial institution of their choosing. This position is not in the collective bargaining unit. This position is eligible to request telework in accordance with the SEC 's telework policy. Existing Participants in the SEC's Remote Telework Program are eligible to apply for this position. If selected, management will evaluate and communicate whether the position will allow for continued participation in Remote Telework. Typical Examiner Travel: Examination staff routinely travel to the offices of registered entities to conduct on-site inspections of facilities, to meet with and interview entity personnel, and to examine certain business records. Qualifications All qualification requirements must be met by the closing date of this announcement.
Qualifying experience may be obtained in the private or public sector. Experience refers to paid and unpaid experience, including volunteer work done through National Service programs (e.g., Peace Corps, AmeriCorps) and other organizations (e.g., professional; philanthropic; religious; spiritual; community, student, social). Volunteer work helps build critical competencies, knowledge, and skills and can provide valuable training and experience that translates directly to paid employment. You will receive credit for all qualifying experience, including volunteer experience. Qualifying education must have been obtained from an accredited college or university recognized by the U.S. Department of Education. MINIMUM QUALIFICATION REQUIREMENT : SK-17: Applicant must have at least one year of specialized experience equivalent to the GS/SK-14 level . Specialized Experience is the following below:
Conducting compliance inspections, examinations, investigations, and/or audits of broker-dealers, clearing agencies, transfer agents, municipal advisers, investment advisers, investment companies and/or other self-regulatory organizations; AND Leading teams of staff with varying backgrounds (e.g., legal, accounting, examining); AND Identifying emerging risks and issues affecting financial institutions. Education
This job does not have an education qualification requirement.
Additional information SEC COMPENSATION PROGRAM: The overall salary range listed above is provided for informational purposes as it represents the full range that is applicable to current employees in this occupation/grade; however, a selectee's initial pay is always set below the maximum rate of the range. Please click here for additional information. IMPORTANT INFORMATION FOR SURPLUS OR DISPLACED FEDERAL EMPLOYEES : Career Transition Assistance Plan (CTAP) and Interagency Career Transition Assistance Plan (ICTAP) are available to individuals who have special priority selection rights under this plan. Individuals must be well-qualified for this position to receive consideration for special priority selection. CTAP or ICTAP eligibles will be considered well-qualified when receiving an adjudicated score of 80 or higher. Reasonable Accommodation: If you are an applicant who needs a reasonable accommodation for disability to participate in the application process at the SEC, submit the form for Reasonable Accommodation for Participation in Job Application Process here . Please be sure to submit your request at least 5 business days in advance of the date you need the requested accommodation. Equal Employment Opportunity (EEO) Information for SEC Job Applicants: Federal EEO laws protect all applicants from discrimination on the following bases: race, color, sex (not limited to conduct which is sexual in nature, includes pregnancy, gender identity, sexual orientation, transgender status), age (40 and over), religion, national origin, disability, genetic information, retaliation for participating in the EEO process or opposing discrimination. Applicants who believe they have been discriminated against on any EEO basis can seek recourse through the SEC's administrative complaints process. To be timely, an individual must enter the EEO process within 45 days from when they know (or should have known) of the alleged discrimination. Click here for additional information. Read more Benefits
A career with the U.S. government provides employees with a comprehensive benefits package. As a federal employee, you and your family will have access to a range of benefits that are designed to make your federal career very rewarding. Opens in a new window Learn more about federal benefits .
Review our benefits Eligibility for benefits depends on the type of position you hold and whether your position is full-time, part-time or intermittent. Contact the hiring agency for more information on the specific benefits offered. Required Documents
You must provide a complete Application Package, which includes:
Required : Your responses to the Occupational Questionnaire. Required : Your complete and comprehensive resume that includes a complete history of your work experience and the applicable employment dates with months and years. To determine if you qualify for this position, OHR will review your work history that is relevant to the specific position for which you applied. If you are an external candidate selected for this position, OHR will review your complete work history to establish your starting salary.If you are a current SEC employee selected for this position, the standard percentage increases will be applied (i.e., 6% for non-supervisory and 10% for supervisory positions) if your selection results in a promotion. If your selection results in lateral movement (i.e. no change in grade) you will maintain your current salary. If your selection results in a change in grade from an SK-15 to an SK-16 you will maintain your current salary. Note : Your resume must directly address the definition of specialized experience listed in the qualification section of this announcement and must NOT contain pictures. For external candidates: Information on how your resume will be used for pay setting purposes can be found here . Required, if applicable: CTAP/ICTAP documentation (a copy of a separation notice or other proof of eligibility for priority selection; a copy of an SF-50, Notification of Personnel Action, showing current position, grade, promotion potential, and duty location; AND a copy of your most recent performance appraisal.) Required, if applicable : Veteran's Preference Documentation (DD-214, Member Copy 4 or other documentation containing dates of service and character of discharge. Disabled veterans and other applicants eligible for 10-point Veteran's Preference please include: documentation to validate your claim - VA letter, SF-15, etc).
Duties
At the Securities and Exchange Commission (SEC), we are committed to diversity, equity, inclusion and accessibility (DEIA) and value a workforce that reflects the diverse experiences and perspectives of the communities we serve. As such, we welcome applications from qualified individuals of all backgrounds who share our commitment to public service.
The Division of Examinations' mission is to protect investors, ensure market integrity and support responsible capital formation through risk-focused strategies that: (1) improve compliance; (2) prevent fraud; (3) monitor risk; and (4) inform policy. The results of the Division's examinations are used by the SEC to inform rule-making initiatives, identify and monitor risks, improve industry practices and pursue misconduct.
If selected, you will join a well-respected team that is responsible for supporting EXAMS' mission to conduct and coordinate the nationwide examination program for entities over which the Commission has regulatory authority.
As a Supervisory Attorney-Adviser you will be: Plan and assign work, advise on program goals and objectives, make decisions on work problems, and organize and monitor the flow of work for the assigned programs in order to achieve the most effective results within a complex environment; Direct staff performing extensive and extremely complex inspections or examinations on activities of self-regulatory organizations, broker-dealers, transfer agents, clearing agencies, investment companies, and/or investment advisers, working with the field offices, reviewing reports and recommendations; In the capacity of legal adviser and counselor, attend and participate in meetings and conferences where crucial policy formulation, procedural development, and program planning matters are discussed and agency positions developed; Provide executive leadership and management of the staff and work products by maintaining and exhibiting knowledge, insight, and understanding of the assigned specialized segment of the market; monitor new or unchartered marketing or financial techniques and developments that impacts SEC decisions; and Represent the agency in high level meetings, conferences, and presentations involving a wide range of participants such as regulatory or law enforcement agencies; state, local, national, or international government offices; private industry; and the academic community. Requirements Conditions of Employment CITIZENSHIP: This position is open to US Citizens. You must possess a J.D. or LL.B Degree. You must be an active member of the bar in good standing Application procedures are specific to this vacancy announcement. Please read all the instructions carefully. Failure to follow the instructions may result in you not being considered for this position. Supplementary vacancies may be filled in addition to the number stated in this announcement. This position has promotion potential to the SK-17 SUPERVISORY TRIAL PERIOD: This appointment may require completion of a two-year supervisory trial period. SECURITY CLEARANCE: Entrance on duty is contingent upon completion of a pre-employment security investigation. Favorable results on a Background Investigation may be a condition of employment or selection to another position. DRUG TESTING: This position may be subjected to drug testing requirements. PERMANENT CHANGE OF STATION (PCS): Moving/Relocation expenses are not authorized. DIRECT DEPOSIT: All Federal employees are required to have Federal salary payments made by direct deposit to a financial institution of their choosing. This position is not in the collective bargaining unit. This position is eligible to request telework in accordance with the SEC 's telework policy. Existing Participants in the SEC's Remote Telework Program are eligible to apply for this position. If selected, management will evaluate and communicate whether the position will allow for continued participation in Remote Telework. Typical Examiner Travel: Examination staff routinely travel to the offices of registered entities to conduct on-site inspections of facilities, to meet with and interview entity personnel, and to examine certain business records. Qualifications All qualification requirements must be met by the closing date of this announcement.
Qualifying experience may be obtained in the private or public sector. Experience refers to paid and unpaid experience, including volunteer work done through National Service programs (e.g., Peace Corps, AmeriCorps) and other organizations (e.g., professional; philanthropic; religious; spiritual; community, student, social). Volunteer work helps build critical competencies, knowledge, and skills and can provide valuable training and experience that translates directly to paid employment. You will receive credit for all qualifying experience, including volunteer experience. Qualifying education must have been obtained from an accredited college or university recognized by the U.S. Department of Education. BASIC REQUIREMENT: All applicants must possess the following J.D. or LL.B. degree --AND-- Active membership of the bar in good standing in any state, territory of the United States, the District of Columbia, or the commonwealth of Puerto Rico. (Note: proof of bar membership will be required before entry on duty. MINIMUM QUALIFICATION REQUIREMENT: In addition to meeting the basic requirement, applicants must also meet the minimum qualification requirement. SK-17: Applicant must have at least four years of post J.D. experience identifying legal issues, providing legal analyses, providing legal solutions/recommendations, and preparing legal documents, such as contracts, dispositions, pleadings, and motions, which also includes at least three years of: Interpreting and applying federal securities laws, rules and regulations; AND Leading teams of staff with varying backgrounds (e.g., legal, accounting, examining); AND Representing an organization at briefings, meetings, or conferences; AND Conducting compliance inspections, examinations, investigations, or audits of broker dealers, clearing agencies, transfer agents, municipal advisers, investment advisers, investment companies and/or other self-regulatory organizations. Education FOREIGN EDUCATION: If you are using education completed in foreign colleges or universities to meet the qualification requirements, you must show the education credentials have been evaluated by a private organization that specializes in interpretation of foreign education programs and such education has been deemed equivalent to that gained in an accredited U.S. education program; or full credit has been given for the courses at a U.S. accredited college or university. For further information, visit: http://www.ed.gov/about/offices/list/ous/international/usnei/us/edlite-visitus-forrecog.html Additional information SEC COMPENSATION PROGRAM: The overall salary range listed above is provided for informational purposes as it represents the full range that is applicable to current employees in this occupation/grade; however, a selectee's initial pay is always set below the maximum rate of the range. Please click here for additional information. Disability Employment: For information on disability appointments, please visit http://www.opm.gov/policy-data-oversight/disability-employment/ IMPORTANT INFORMATION FOR SURPLUS OR DISPLACED FEDERAL EMPLOYEES: Career Transition Assistance Plan (CTAP) is available to individuals who have special priority selection rights under this plan. Individuals must be minimally qualified for this position to receive consideration for special priority selection. CTAP eligibles will be considered minimally qualified if they meet the minimum requirements for this position. Reasonable Accommodation: If you are an applicant who needs a reasonable accommodation for disability to participate in the application process at the SEC, submit the form for Reasonable Accommodation for Participation in Job Application Process here . Please be sure to submit your request at least 5 business days in advance of the date you need the requested accommodation. Equal Employment Opportunity (EEO) Information for SEC Job Applicants: Federal EEO laws protect all applicants from discrimination on the following bases: race, color, sex (not limited to conduct which is sexual in nature, includes pregnancy, gender identity, sexual orientation, transgender status), age (40 and over), religion, national origin, disability, genetic information, retaliation for participating in the EEO process or opposing discrimination. Applicants who believe they have been discriminated against on any EEO basis can seek recourse through the SEC's administrative complaints process. To be timely, an individual must enter the EEO process within 45 days from when they know (or should have known) of the alleged discrimination. Click here for additional information. Read more Benefits
A career with the U.S. government provides employees with a comprehensive benefits package. As a federal employee, you and your family will have access to a range of benefits that are designed to make your federal career very rewarding. Opens in a new window Learn more about federal benefits .
Review our benefits Eligibility for benefits depends on the type of position you hold and whether your position is full-time, part-time or intermittent. Contact the hiring agency for more information on the specific benefits offered. Required Documents
You must provide a complete Application Package, which includes:
Required : Your responses to the Occupational Questionnaire. Required: Your complete and comprehensive resume that includes a complete history of your work experience and the applicable employment dates with months and years. To determine if you qualify for this position, OHR will review your work history that is relevant to the specific position for which you applied. If you are an external candidate selected for this position, OHR will review your complete work history to establish your starting salary. If you are a current SEC employee selected for this position, the standard percentage increases will be applied (i.e., 6% for non-supervisory and 10% for supervisory positions) if your selection results in a promotion. If your selection results in lateral movement (i.e. no change in grade) you will maintain your current salary. If your selection results in a change in grade from an SK-15 to an SK-16 you will maintain your current salary. Note: Your resume must directly address the definition of specialized experience listed in the qualification section of this announcement and must NOT contain pictures. Required, if applicable: Veteran's documentation (DD-214, member 4 copy or other documentation containing dates of service and character of discharge.) Required, if applicable: CTAP documentation (a copy of a separation notice or other proof of eligibility for priority selection; a copy of an SF-50, Notification of Personnel Action, showing current position, grade, promotion potential, and duty location; AND a copy of your most recent performance appraisal.)
If you are relying on your education to meet qualification requirements:
Education must be accredited by an accrediting institution recognized by the U.S. Department of Education in order for it to be credited towards qualifications. Therefore, provide only the attendance and/or degrees from
schools accredited by accrediting institutions recognized by the U.S. Department of Education .
Failure to provide all of the required information as stated in this vacancy announcement may result in an ineligible rating or may affect the overall rating.
Full-time
Duties
At the Securities and Exchange Commission (SEC), we are committed to diversity, equity, inclusion and accessibility (DEIA) and value a workforce that reflects the diverse experiences and perspectives of the communities we serve. As such, we welcome applications from qualified individuals of all backgrounds who share our commitment to public service.
The Division of Examinations' mission is to protect investors, ensure market integrity and support responsible capital formation through risk-focused strategies that: (1) improve compliance; (2) prevent fraud; (3) monitor risk; and (4) inform policy. The results of the Division's examinations are used by the SEC to inform rule-making initiatives, identify and monitor risks, improve industry practices and pursue misconduct.
If selected, you will join a well-respected team that is responsible for supporting EXAMS' mission to conduct and coordinate the nationwide examination program for entities over which the Commission has regulatory authority.
As a Supervisory Attorney-Adviser you will be: Plan and assign work, advise on program goals and objectives, make decisions on work problems, and organize and monitor the flow of work for the assigned programs in order to achieve the most effective results within a complex environment; Direct staff performing extensive and extremely complex inspections or examinations on activities of self-regulatory organizations, broker-dealers, transfer agents, clearing agencies, investment companies, and/or investment advisers, working with the field offices, reviewing reports and recommendations; In the capacity of legal adviser and counselor, attend and participate in meetings and conferences where crucial policy formulation, procedural development, and program planning matters are discussed and agency positions developed; Provide executive leadership and management of the staff and work products by maintaining and exhibiting knowledge, insight, and understanding of the assigned specialized segment of the market; monitor new or unchartered marketing or financial techniques and developments that impacts SEC decisions; and Represent the agency in high level meetings, conferences, and presentations involving a wide range of participants such as regulatory or law enforcement agencies; state, local, national, or international government offices; private industry; and the academic community. Requirements Conditions of Employment CITIZENSHIP: This position is open to US Citizens. You must possess a J.D. or LL.B Degree. You must be an active member of the bar in good standing Application procedures are specific to this vacancy announcement. Please read all the instructions carefully. Failure to follow the instructions may result in you not being considered for this position. Supplementary vacancies may be filled in addition to the number stated in this announcement. This position has promotion potential to the SK-17 SUPERVISORY TRIAL PERIOD: This appointment may require completion of a two-year supervisory trial period. SECURITY CLEARANCE: Entrance on duty is contingent upon completion of a pre-employment security investigation. Favorable results on a Background Investigation may be a condition of employment or selection to another position. DRUG TESTING: This position may be subjected to drug testing requirements. PERMANENT CHANGE OF STATION (PCS): Moving/Relocation expenses are not authorized. DIRECT DEPOSIT: All Federal employees are required to have Federal salary payments made by direct deposit to a financial institution of their choosing. This position is not in the collective bargaining unit. This position is eligible to request telework in accordance with the SEC 's telework policy. Existing Participants in the SEC's Remote Telework Program are eligible to apply for this position. If selected, management will evaluate and communicate whether the position will allow for continued participation in Remote Telework. Typical Examiner Travel: Examination staff routinely travel to the offices of registered entities to conduct on-site inspections of facilities, to meet with and interview entity personnel, and to examine certain business records. Qualifications All qualification requirements must be met by the closing date of this announcement.
Qualifying experience may be obtained in the private or public sector. Experience refers to paid and unpaid experience, including volunteer work done through National Service programs (e.g., Peace Corps, AmeriCorps) and other organizations (e.g., professional; philanthropic; religious; spiritual; community, student, social). Volunteer work helps build critical competencies, knowledge, and skills and can provide valuable training and experience that translates directly to paid employment. You will receive credit for all qualifying experience, including volunteer experience. Qualifying education must have been obtained from an accredited college or university recognized by the U.S. Department of Education. BASIC REQUIREMENT: All applicants must possess the following J.D. or LL.B. degree --AND-- Active membership of the bar in good standing in any state, territory of the United States, the District of Columbia, or the commonwealth of Puerto Rico. (Note: proof of bar membership will be required before entry on duty. MINIMUM QUALIFICATION REQUIREMENT: In addition to meeting the basic requirement, applicants must also meet the minimum qualification requirement. SK-17: Applicant must have at least four years of post J.D. experience identifying legal issues, providing legal analyses, providing legal solutions/recommendations, and preparing legal documents, such as contracts, dispositions, pleadings, and motions, which also includes at least three years of: Interpreting and applying federal securities laws, rules and regulations; AND Leading teams of staff with varying backgrounds (e.g., legal, accounting, examining); AND Representing an organization at briefings, meetings, or conferences; AND Conducting compliance inspections, examinations, investigations, or audits of broker dealers, clearing agencies, transfer agents, municipal advisers, investment advisers, investment companies and/or other self-regulatory organizations. Education FOREIGN EDUCATION: If you are using education completed in foreign colleges or universities to meet the qualification requirements, you must show the education credentials have been evaluated by a private organization that specializes in interpretation of foreign education programs and such education has been deemed equivalent to that gained in an accredited U.S. education program; or full credit has been given for the courses at a U.S. accredited college or university. For further information, visit: http://www.ed.gov/about/offices/list/ous/international/usnei/us/edlite-visitus-forrecog.html Additional information SEC COMPENSATION PROGRAM: The overall salary range listed above is provided for informational purposes as it represents the full range that is applicable to current employees in this occupation/grade; however, a selectee's initial pay is always set below the maximum rate of the range. Please click here for additional information. Disability Employment: For information on disability appointments, please visit http://www.opm.gov/policy-data-oversight/disability-employment/ IMPORTANT INFORMATION FOR SURPLUS OR DISPLACED FEDERAL EMPLOYEES: Career Transition Assistance Plan (CTAP) is available to individuals who have special priority selection rights under this plan. Individuals must be minimally qualified for this position to receive consideration for special priority selection. CTAP eligibles will be considered minimally qualified if they meet the minimum requirements for this position. Reasonable Accommodation: If you are an applicant who needs a reasonable accommodation for disability to participate in the application process at the SEC, submit the form for Reasonable Accommodation for Participation in Job Application Process here . Please be sure to submit your request at least 5 business days in advance of the date you need the requested accommodation. Equal Employment Opportunity (EEO) Information for SEC Job Applicants: Federal EEO laws protect all applicants from discrimination on the following bases: race, color, sex (not limited to conduct which is sexual in nature, includes pregnancy, gender identity, sexual orientation, transgender status), age (40 and over), religion, national origin, disability, genetic information, retaliation for participating in the EEO process or opposing discrimination. Applicants who believe they have been discriminated against on any EEO basis can seek recourse through the SEC's administrative complaints process. To be timely, an individual must enter the EEO process within 45 days from when they know (or should have known) of the alleged discrimination. Click here for additional information. Read more Benefits
A career with the U.S. government provides employees with a comprehensive benefits package. As a federal employee, you and your family will have access to a range of benefits that are designed to make your federal career very rewarding. Opens in a new window Learn more about federal benefits .
Review our benefits Eligibility for benefits depends on the type of position you hold and whether your position is full-time, part-time or intermittent. Contact the hiring agency for more information on the specific benefits offered. Required Documents
You must provide a complete Application Package, which includes:
Required : Your responses to the Occupational Questionnaire. Required: Your complete and comprehensive resume that includes a complete history of your work experience and the applicable employment dates with months and years. To determine if you qualify for this position, OHR will review your work history that is relevant to the specific position for which you applied. If you are an external candidate selected for this position, OHR will review your complete work history to establish your starting salary. If you are a current SEC employee selected for this position, the standard percentage increases will be applied (i.e., 6% for non-supervisory and 10% for supervisory positions) if your selection results in a promotion. If your selection results in lateral movement (i.e. no change in grade) you will maintain your current salary. If your selection results in a change in grade from an SK-15 to an SK-16 you will maintain your current salary. Note: Your resume must directly address the definition of specialized experience listed in the qualification section of this announcement and must NOT contain pictures. Required, if applicable: Veteran's documentation (DD-214, member 4 copy or other documentation containing dates of service and character of discharge.) Required, if applicable: CTAP documentation (a copy of a separation notice or other proof of eligibility for priority selection; a copy of an SF-50, Notification of Personnel Action, showing current position, grade, promotion potential, and duty location; AND a copy of your most recent performance appraisal.)
If you are relying on your education to meet qualification requirements:
Education must be accredited by an accrediting institution recognized by the U.S. Department of Education in order for it to be credited towards qualifications. Therefore, provide only the attendance and/or degrees from
schools accredited by accrediting institutions recognized by the U.S. Department of Education .
Failure to provide all of the required information as stated in this vacancy announcement may result in an ineligible rating or may affect the overall rating.