SECURITIES COMPLIANCE EXAMINER

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.

This position is in the Technology Controls Program (TCP) within the Division of Examinations and will be located in one of the following locations: Atlanta, GA, Boston, MA, Chicago, IL, Denver, CO, Ft. Worth, TX, Los Angeles, CA, Miami, FL, New York, NY, Philadelphia, PA, Salt Lake City, UT, San Francisco, CA or Washington, DC.

As a Securities Compliance Examiner, you will:

• Serve as a subject matter expert on issues relevant to crypto assets and emerging technology as a member of an exam team;
• Provide analysis and advice on nationwide examination program issues related to crypto assets and emerging technology;
• Work as a member of a team of examiners with various levels of experience and professional backgrounds to conduct examinations of SEC registrants such as investment companies, investment advisers, broker-dealers, transfer agents, and municipal advisors.
• Evaluate possible risks to investors and the financial markets of SEC registrants business models and practices based on review and analysis, through modern quantitative techniques when possible, of information reported by the institutions to the SEC and other internal and external data sources.
• Execute risk-based examination plans, which frequently involves: (i) analyzing an entities' operations and procedures, sales practices, supervisory systems, books and records, and financial statements, (ii) reviewing investigatory complaints, (iii) investigating new financial products, (iv) examining specialized securities, (v) interviewing principals of registrants, and/or (vi) analyzing performance calculations to assess the level of compliance with federal securities laws and/or self-regulatory requirements.
• Develop recommendations and reports, presenting and defending findings, and collaborating as required with legal staff.
• Devise examination techniques for uncovering problems and probing areas that might be susceptible to abuses related to crypto assets and emerging technology; and
• Review and analyze industry trends, operations, and new products related to crypto assets and emerging technology.

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.
• 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.
• 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-12 level for the SK-13 level.
Time-in-grade for this announcement is one year at the GS/SK-13 level for the 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-13: Applicant must have at least one year of specialized experience equivalent to the GS/SK-12 level analyzing issues related to the crypto assets industry including portfolio management, risk management, trading fund governance, fund operations, and/or valuations. In addition, I have experience in at least one of the following areas:

1. Working with blockchain/distributed ledger technology (DLT) and/or crypto assets, including using at least one of the following: relevant programming languages, tools and blockchain platforms, architecture, applications and dApps, and data analytics; OR
2. Analyzing industry trends and tools related to crypto assets, distributed ledger technology, blockchain technology, or smart contracts; OR
3. Researching crypto asset funds, advisers, platforms or other related crypto asset businesses; OR
4. Developing and implementing assessments of internal controls or internal risk management programs (such as enterprise or operational risk management) for firms in the crypto assets industry; OR
5. Performing reviews of procedures, practices, or records related to the issuance, distribution, and/or trading of crypto assets; OR
6. Engaging in trading, portfolio management, or investment management or performing investment analysis, or management of crypto assets.

SK-14: Applicant must have at least one year of specialized experience equivalent to the GS/SK-13 level analyzing issues related to the crypto assets industry including portfolio management, risk management, trading fund governance, fund operations, and/or valuations. In addition, I have experience in at least two of the following areas:

1. Working with blockchain/distributed ledger technology (DLT) and/or crypto assets, including using at least one of the following: relevant programming languages, tools and blockchain platforms, architecture, applications and dApps, and data analytics; OR
2. Analyzing industry trends and tools related to crypto assets, distributed ledger technology, blockchain technology, or smart contracts; OR
3. Researching crypto asset funds, advisers, platforms or other related crypto asset businesses; OR
4. Developing and implementing assessments of internal controls or internal risk management programs (such as enterprise or operational risk management) for firms in the crypto assets industry; OR
5. Performing reviews of procedures, practices, or records related to the issuance, distribution, and/or trading of crypto assets; OR
6. Engaging in trading, portfolio management, or investment management or performing investment analysis, or management of crypto assets.

Additional information

Salary Ranges:

• Atlanta, GA:
  • SK-13: $113,882- $192,938
  • SK-14: $130,764 - $221,538
• Boston, MA
  • SK-13: $121,316 - $205,532
  • SK-14: $139,300 - $235,999
• Chicago, IL
  • SK-13: $120,149 - $203,556
  • SK-14: $137,960 - $233,730
• Denver, CO
  • SK-13: $119,464 - $202,396
  • SK-14: $137,174 - $232,397
• Ft. Worth, TX:
  • SK-13: $116,983 - $198,192
  • SK-14: $134-325 - $227,571
• Los Angeles, CA:
  • SK-13: $124,870 - $211,555
  • SK-14: $143,381 - $242,914
• Miami, FL:
  • SK-13: $114,991 - $194695
  • SK-14: $131,955 - $223,555
• New York, NY:
  • SK-13: $126,046- $213,547
  • SK-14: $144,731 - $245,201
• Philadelphia, PA:
  • SK-13: $118,344 - $200,498
  • SK-14: $135,888 - $230,218
• Salt Lake City, UT
  • SK-13: $107,846 - $182,713
  • SK-14: $123,834 - $209,797
• San Francisco, CA:
  • SK-13: $133,433- $226,078
  • SK-14: $153,224 - $259,590
• Washington, DC
  • SK-13: $122,649 - $207,791
  • SK-14: $140,830 - $238,592

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/

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.

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.
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• Benefits

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  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.

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.

$107,846 - $259,590 per year