Securities Compliance Examiner Securities and Exchange Commission Division of Examinions, Office of Security Based Swaps Summary The Division of Examinions is seeking Securities Compliance Examiner, SK-1831-13 & 14 in the Office of Security-Based Swaps in various locions. As a Securities Compliance Examiner , you will join a well-respected team th is responsible for supporting EXAMS' mission to conduct and coordine the nionwide examinion program for entities over which the Commission has regulory authority. Learn more about this agency Summary The Division of Examinions is seeking Securities Compliance Examiner, SK-1831-13 & 14 in the Office of Security-Based Swaps in various locions. As a Securities Compliance Examiner , you will join a well-respected team th is responsible for supporting EXAMS' mission to conduct and coordine the nionwide examinion program for entities over which the Commission has regulory authority. Learn more about this agency Overview Help Accepting applicions This job will close when we have received 150 applicions which may be sooner than the closing de. Learn more Locion 1 vacancy in the following locions: Washington, DC Chicago, IL New York, NY No mching locions found. Work site options Telework eligible No Remote job No Relocion expenses reimbursed No Salary $130,280

• $267,168 per year Starting salary is based on experience. The range is listed for informional purposes. Initial pay set below the maximum. See more below. Pay scale & grade SK 13
• 14 Promotion potential 14 Learn more about pay scale and grade Pay scale and grade determines the salary of the job. Work schedule Full-time Travel Required Occasional travel
• You may be expected to travel for an estimed 5 days per month for this position.

Appointment type Permanent Occupions and job series 1831 Securities Compliance Examining Supervisory stus No Federal service type This job is in the Competitive Service Represented by a union Yes Drug test No Security clearance Other Position sensitivity and risk High Risk (HR) Jobs require a background check and some require a security clearance . The type depends on the job. Background check type Suitability/Fitness Financial disclosure required Yes Some jobs require financial disclosure to identify conflicts of interests. Announcement number 26-DE-13040125-CSS Control number 881860600 This job is open to Help The public U.S. Citizens, Nionals or those who owe allegiance to the U.S. Clarificion from the agency All US Citizens Duties Help The Office of Security Based Swaps performs examinions of certain market intermediaries such as Security-Based Swap Dealers and Security-Based Swap Execution Facilities to ensure compliance with applicable requirements under the Securities Exchange Act of 1934 and provides subject mter expertise on the security-based swap market and reled transactions. In this role as a Securities Compliance Examiner, you responsible for: Working as a member of a team of examiners with various levels of experience and professional backgrounds to conduct examinions of securities-reled financial institutions registered with the SEC such as security-based swap dealers and security-based swap execution facilities, security-based swap da repositories, investment companies, investment advisers, broker-dealers, self-regulory organizions, transfer agents, and municipal advisors; Evaluing possible risks to financial markets and counterparties of registered security-based swap dealers' business models and practices based on review and analysis through modern quantitive techniques, when possible, of informion reported by the institutions to the SEC and other internal and external da sources; Executing risk-based examinion plans, which frequently involves: (i) analyzing a security-based swap dealer's operions and procedures, trading practices, supervisory systems, risk management systems, books and records, and financial stements, (ii) investiging new financial products, (iii) analyzing derivives, (iv) interviewing principals of registrants, and/or (v) analyzing performance calculions to assess the level of compliance with federal securities laws; and Developing recommendions and reports, presenting and defending findings, and collaboring as required with key stakeholders of the examinion process, including internal divisions and offices (e.g. Division of Trading and Markets and Office of Internional Affairs), and other US and foreign regulors. Requirements Help Conditions of employment

CITZENSHIP

You must be a US Citizen.

SELECTIVE SERVICE

Males born after 12/31/59 must be registered or exempt from Selective Service (see https://www.sss.gov/)

SECURITY CLEARANCE

Entrance on duty is contingent upon completion of a pre-employment security investigion. Favorable results on a Background Investigion 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/Relocion 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.

PROBATIONARY PERIOD

This appointment may require completion of a one-year probionary period. The selectee is required to report to the duty stion(s) listed.

Typical Examiner Travel:

Examinion 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. Qualificions Applicants are responsible for confirming all required merials are submitted by the closing de of the announcement . Please check the How You Will Be Evalued and Required Documents sections carefully, as missing documents will render the applicion incomplete and ineligible for review. Qualifying experience may be obtained in the prive or public sector. Experience refers to paid and unpaid experience, including volunteer work done through Nional Service programs (e.g., Peace Corps, AmeriCorps) and other organizions (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 th transles directly to paid employment. You will receive credit for all qualifying experience, including volunteer experience. All qualificion requirements must be met by the closing de of this announcement.

MINIMUM QUALIFICATION REQUIREMENT

SK

• 13 : Applicant must have least one year of specialized experience equivalent to the

GS/SK-12

level .

Specialized experience includes:

Interpreting and applying the provisions of the Securities Exchange Act of 1934 and any reled rules and regulions and/or other federal securities rules; AND Performing examinions, investigions, audits or internal compliance reviews of securities-reled financial institutions such as broker-dealers, municipal advisors, nional securities exchanges, transfer agents, investment advisers, investment companies, or clearing agencies; AND Analyzing financial, operional, or securities industry da using a relional dabase management system (e.g. SQL, Oracle) or through advanced skills with spreadsheets such as Microsoft Excel. SK

• 14 : Applicant must have least one year of specialized experience equivalent to the

GS/SK-13

level.

Specialized experience includes:

Interpreting and applying the provisions of the Securities Exchange Act of 1934 and any reled rules and regulions and/or other federal securities rules ; AND Engaging in or reguling derivives markets or their operions; AND Performing examinions, investigions, audits or internal reviews th included assessment of valuion, trading, risk, documention, or clearance of derivives.

ACCOMPLISHMENT RECORD COMPETENCIES

Your Accomplishment Record narrives should address the following competencies. See the How You Will Be Evalued section below for more informion: Competency 1:

Examwork:

Effectively conducts examwork activities (whether onsite, correspondence, etc.) in a professional manner to procure informion from an entity under examinion. Competency 2:

Analysis and Risk Assessment:

Analyzes informion to assess an entity's level of risk for deficiencies in various focus areas. Competency 3:

Critical Thinking:

Considers a variety of factors, general and subject mter-specific, when making decisions and determining next steps in a case. Competency 4:

Teamwork and Collaborion:

Interacts with internal and external others in a manner th advances examinions and agency goals and objectives. Educion This job does not have an educion qualificion requirement. Additional informion Supplementary vacancies may be filled in addition to the number sted in this announcement and may be filled from any division or office within the agency.

SEC COMPENSATION PROGRAM

Total salary (base pay + locality) is dependent upon duty locion. The overall salary range listed above is provided for informional purposes; a selectee's initial pay established below the maximum re of the range. The pay for current SEC employees determined according to the procedures specified in the agency's policy. Please the agency's Compension Overview page for more informion.

Disability Employment:

For informion on disability appointments, click here .

I MPORTANT INFORMATION FOR SURPLUS OR DISPLACED FEDERAL EMPLOYEES

If you have never worked for the federal government, you are not I/CTAP eligible. To receive selection priority for this position, you must: (1) meet CTAP or ICTAP eligibility criteria; the questionnaire asks you to identify your

ICTAP/CTAP

eligibility (2) be red well-qualified; and, (3) submit the approprie documention to support your CTAP or ICTAP eligibility. View informion about I/CTAP eligibility on OPM's Career Transition Resources website.

Reasonable Accommodion:

If you are an applicant who needs a reasonable accommodion to participe in the SEC applicion process due to a medical disability, please contact reasonableaccommodion@sec.gov . For religious-based accommodions, please contact religiousaccommodion@sec.gov . Please be sure to submit your request least 5 business days in advance of the de you need the requested accommodion. Equal Employment Opportunity (EEO) Informion for

SEC Job Applicants:

For more informion, please click here . The Fair Chance Act prohibits specific inquiries concerning an applicant's criminal or credit background unless the hiring agency has made a conditional offer of employment to the applicant. An applicant may submit a complaint, or any other informion, to the agency within 30 calendar days of the de of alleged non-compliance by contacting the Legal and Policy Office in the Office of Human Resources ElliottT@sec.gov . Expand Hide additional informion Candides should be committed to improving the efficiency of the Federal government, passione about the ideals of our American republic, and committed to upholding the rule of law and the United Stes Constitution. 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 th 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 informion on the specific benefits offered. How you evalued You evalued for this job based on how well you meet the qualificions above. You evalued for this position based on how well you meet the qualificions listed in this announcement. Your resume and applicion package will first be reviewed to determine whether you meet the minimum qualificion requirements outlined in the announcement. Please do not submit an Accomplishment Record this time. If you are found minimally qualified , the Office of Human Resources will contact you to request an Accomplishment Record . You will have 3 business days from the de of the request to submit it. Failure to submit the Accomplishment Record on time will remove you from further considerion. A response is required even if an Accomplishment Record was submitted time of applicion. Because of the short turnaround time, you are strongly encouraged to begin preparing your Accomplishment Record in advance. Once your Accomplishment Record is received, a ring panel will review both your resume and your narrive responses. Your Accomplishment Record must clearly demonstre your proficiency in the competencies listed in the Qualificions section. Click here for guidance on writing your Accomplishment Record. Your resume must provide evidence th supports the claims in your Accomplishment Record. Each narrive must describe one specific, relevant example from your experience or training. Responses are limited to 300 words per competency ; any text beyond this limit will not be reviewed.

Accomplishment Record Form:

Competency Title Position title and des from your resume th this experience was obtained Describe the situion (i.e., the challenged faced, the problem solved) Describe the specific actions you took Ste the outcome, results, or long-term impact of your accomplishment Name and email address of someone who can verify this informion Reference checks may be conducted as part of the final selection process, and you notified before any contacts are made. Basis for

Ring:

The ring panel will evalue applicants' accomplishment records and resume, then place them into one of the following cegories: Highly Qualified

• Meets the minimum qualificion requirements and has extensive skills and experience in most of the job reled competencies. Well Qualified
• Meets the minimum qualificion requirements and has a modere amount of skills and experience in most of the job reled competencies. Qualified
• Meets the minimum qualificion requirements, but may have a limited amount of experience in several of the job reled competencies.

Top ranked applicants referred to the hiring office for further review and considerion. The hiring office may directly contact recommended candides for interview(s). To preview the Questionnaire, click https://apply.usastaffing.gov/ViewQuestionnaire/13040125 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 th 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 informion on the specific benefits offered. Required documents Required Documents Help You must provide a complete Applicion Package, which includes:

Required :

Your responses to the Questionnaire.

Required :

Resume

• Resumes should include relevant work experience, with specific employment des, th demonstres qualificions for the specialized experience and competencies as outlined above.

If your resume does not reflect demonstred evidence of these qualificions, you may not receive considerion for the position. Resumes th exceed two pages deemed ineligible and receive no further considerion. For resume writing tips, USAJOBS and the SEC careers page. Required, if applicable:

CTAP/ICTAP

documention (a copy of a separion notice or other proof of eligibility for priority selection; a copy of an SF-50, Notificion of Personnel Action, showing current position, grade, promotion potential, and duty locion; AND a copy of your most recent performance appraisal.) Required, if applicable : Veteran's Preference Documention (DD-214, Member Copy 4 or other documention containing des of service and character of discharge. Disabled veterans and other applicants eligible for 10-point Veteran's Preference please include: documention to valide your claim

• VA letter, SF-15, etc).

How to Apply Help To apply for this position, you must complete the online applicion and submit the documention specified in the Required Documents section below. A complete applicion package must be submitted by 11:59 PM (EST) on the closing de of the announcement to receive considerion. No additional documention accepted after the closing de of the announcement. To begin, click Apply to access the online applicion. You will need to be logged into your USAJOBS account to apply. If you do not have a USAJOBS account, you will need to cree one before beginning the applicion. Follow the prompts to select your resume and/or other supporting documents to be included with your applicion package. You will have the opportunity to upload additional documents to include in your applicion before it is submitted. Your uploaded documents may take several hours to clear the virus scan process. After acknowledging you have reviewed your applicion package, complete the Include Personal Informion section as you deem approprie and click to continue with the applicion process. You taken to the online applicion which you must complete in order to apply for the position. Complete the online applicion, verify the required documention is included with your applicion package, and submit the applicion. To verify the stus of your applicion, log into your USAJOBS account ( https://my.usajobs.gov/Account/Login ), all of your applicions will appear on the Welcome screen. The Applicion Stus will appear along with the de your applicion was last upded. For informion on wh each Applicion Stus means, : https://www.usajobs.gov/Help/how-to/applicion/stus/ . Agency contact informion ask HR askHR@sec.gov Address Division of Examinions 100 F Street NE Washington, DC 20549 US Next steps You notified of your applicion stus through USAJOBS four points during the hiring process, as applicable. You can check the stus of your applicion by accessing the USAJOBS website http://usajobs.gov/ and clicking on "Track Your Online Applicion." By submitting your applicion, you are certifying the accuracy of the informion contained in your applicion. If you make a false stement in any part of your applicion, you may not be hired, you may be termined after you begin work, or you may be fined or jailed. After making a tentive job offer, we will conduct a suitability/security background investigion. You required to submit official documention before appointment. The agency will then verify the informion provided on your applicion (i.e., degree, Veterans' Preference, certificion of disability, etc.). Candides external to the SEC allowed to submit a comprehensive resume for pay setting purposes after a tentive offer is made. If the applicant fails to provide the comprehensive resume by the specified deadline, the resume submitted the time of applicion used to determine pay. No additional documention accepted after the deadline. Fair and transparent The Federal hiring process is set up to be fair and transparent. Please read the following guidance. Criminal history inquiries Equal Employment Opportunity (EEO) Policy Financial suitability New employee probionary period Privacy Act Reasonable accommodion policy Selective Service Signure and false stements Social security number request Required Documents Help You must provide a complete Applicion Package, which includes:

Required :

Your responses to the Questionnaire.

Required :

Resume

• Resumes should include relevant work experience, with specific employment des, th demonstres qualificions for the specialized experience and competencies as outlined above.

If your resume does not reflect demonstred evidence of these qualificions, you may not receive considerion for the position. Resumes th exceed two pages deemed ineligible and receive no further considerion. For resume writing tips, USAJOBS and the SEC careers page. Required, if applicable:

CTAP/ICTAP

documention (a copy of a separion notice or other proof of eligibility for priority selection; a copy of an SF-50, Notificion of Personnel Action, showing current position, grade, promotion potential, and duty locion; AND a copy of your most recent performance appraisal.) Required, if applicable : Veteran's Preference Documention (DD-214, Member Copy 4 or other documention containing des of service and character of discharge. Disabled veterans and other applicants eligible for 10-point Veteran's Preference please include: documention to valide your claim

• VA letter, SF-15, etc).

How to Apply Help To apply for this position, you must complete the online applicion and submit the documention specified in the Required Documents section below. A complete applicion package must be submitted by 11:59 PM (EST) on the closing de of the announcement to receive considerion. No additional documention accepted after the closing de of the announcement. To begin, click Apply to access the online applicion. You will need to be logged into your USAJOBS account to apply. If you do not have a USAJOBS account, you will need to cree one before beginning the applicion. Follow the prompts to select your resume and/or other supporting documents to be included with your applicion package. You will have the opportunity to upload additional documents to include in your applicion before it is submitted. Your uploaded documents may take several hours to clear the virus scan process. After acknowledging you have reviewed your applicion package, complete the Include Personal Informion section as you deem approprie and click to continue with the applicion process. You taken to the online applicion which you must complete in order to apply for the position. Complete the online applicion, verify the required documention is included with your applicion package, and submit the applicion. To verify the stus of your applicion, log into your USAJOBS account ( https://my.usajobs.gov/Account/Login ), all of your applicions will appear on the Welcome screen. The Applicion Stus will appear along with the de your applicion was last upded. For informion on wh each Applicion Stus means, : https://www.usajobs.gov/Help/how-to/applicion/stus/ . Expand Hide how to apply Agency contact informion ask HR askHR@sec.gov Address Division of Examinions 100 F Street NE Washington, DC 20549 US Next steps You notified of your applicion stus through USAJOBS four points during the hiring process, as applicable. You can check the stus of your applicion by accessing the USAJOBS website http://usajobs.gov/ and clicking on "Track Your Online Applicion." By submitting your applicion, you are certifying the accuracy of the informion contained in your applicion. If you make a false stement in any part of your applicion, you may not be hired, you may be termined after you begin work, or you may be fined or jailed. After making a tentive job offer, we will conduct a suitability/security background investigion. You required to submit official documention before appointment. The agency will then verify the informion provided on your applicion (i.e., degree, Veterans' Preference, certificion of disability, etc.). Candides external to the SEC allowed to submit a comprehensive resume for pay setting purposes after a tentive offer is made. If the applicant fails to provide the comprehensive resume by the specified deadline, the resume submitted the time of applicion used to determine pay. No additional documention accepted after the deadline. Expand Hide next steps Fair and transparent The Federal hiring process is set up to be fair and transparent. Please read the following guidance. Criminal history inquiries Equal Employment Opportunity (EEO) Policy Financial suitability New employee probionary period Privacy Act Reasonable accommodion policy Selective Service Signure and false stements Social security number request Overview Help Accepting applicions This job will close when we have received 150 applicions which may be sooner than the closing de. Locion 1 vacancy in the following locions: Washington, DC Chicago, IL New York, NY No mching locions found. Work site options Telework eligible No Remote job No Relocion expenses reimbursed No Salary $130,280

• $267,168 per year Starting salary is based on experience. The range is listed for informional purposes. Initial pay set below the maximum. See more below. Pay scale & grade SK 13
• 14 Promotion potential 14 Pay scale and grade determines the salary of the job. Work schedule Full-time Travel Required Occasional travel
• You may be expected to travel for an estimed 5 days per month for this position.

Appointment type Permanent Occupions and job series Supervisory stus No Federal service type This job is in the Competitive Service Represented by a union Yes Drug test No Security clearance Other Position sensitivity and risk Jobs require a and some require a . The type depends on the job. Background check type Financial disclosure required Yes Some jobs require to identify conflicts of interests. Announcement number 26-DE-13040125-CSS Control number 881860600