Securities Compliance Examiner Securities and Exchange Commission Division of Examinations, Office of Security Based Swaps Summary The Division of Examinations is seeking Securities Compliance Examiner, SK-1831-13 & 14 in the Office of Security-Based Swaps in various locations. As a Securities Compliance Examiner , 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. This job is open to The public U.S. Citizens, Nationals or those who owe allegiance to the U.S. Clarification from the agency All US Citizens Duties The Office of Security Based Swaps performs examinations 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 matter expertise on the security-based swap market and related transactions. In this role as a Securities Compliance Examiner, you will be responsible for: Working as a member of a team of examiners with various levels of experience and professional backgrounds to conduct examinations of securities-related financial institutions registered with the SEC such as security-based swap dealers and security-based swap execution facilities, security-based swap data repositories, investment companies, investment advisers, broker-dealers, self-regulatory organizations, transfer agents, and municipal advisors; Evaluating possible risks to financial markets and counterparties of registered security-based swap dealers' 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; Executing risk-based examination plans, which frequently involves: (i) analyzing a security-based swap dealer's operations and procedures, trading practices, supervisory systems, risk management systems, books and records, and financial statements, (ii) investigating new financial products, (iii) analyzing derivatives, (iv) interviewing principals of registrants, and/or (v) analyzing performance calculations to assess the level of compliance with federal securities laws; and Developing recommendations and reports, presenting and defending findings, and collaborating as required with key stakeholders of the examination process, including internal divisions and offices (e.g. Division of Trading and Markets and Office of International Affairs), and other US and foreign regulators. Requirements 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 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.

PROBATIONARY PERIOD

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

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 Applicants are responsible for confirming all required materials are submitted by the closing date of the announcement . Please check the How You Will Be Evaluated and Required Documents sections carefully, as missing documents will render the application incomplete and ineligible for review. 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. All qualification requirements must be met by the closing date of this announcement.

MINIMUM QUALIFICATION REQUIREMENT

SK

• 13 : Applicant must have at 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 related rules and regulations and/or other federal securities rules; AND Performing examinations, investigations, audits or internal compliance reviews of securities-related financial institutions such as broker-dealers, municipal advisors, national securities exchanges, transfer agents, investment advisers, investment companies, or clearing agencies; AND Analyzing financial, operational, or securities industry data using a relational database management system (e.g. SQL, Oracle) or through advanced skills with spreadsheets such as Microsoft Excel. SK

• 14 : Applicant must have at 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 related rules and regulations and/or other federal securities rules ; AND Engaging in or regulating derivatives markets or their operations; AND Performing examinations, investigations, audits or internal reviews that included assessment of valuation, trading, risk, documentation, or clearance of derivatives.

ACCOMPLISHMENT RECORD COMPETENCIES

Your Accomplishment Record narratives should address the following competencies. See the How You Will Be Evaluated section below for more information: Competency 1:

Examwork:

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

Analysis and Risk Assessment:

Analyzes information 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 matter-specific, when making decisions and determining next steps in a case. Competency 4:

Teamwork and Collaboration:

Interacts with internal and external others in a manner that advances examinations and agency goals and objectives. Education This job does not have an education qualification requirement. Additional information Supplementary vacancies may be filled in addition to the number stated 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 location. The overall salary range listed above is provided for informational purposes; a selectee's initial pay will be established below the maximum rate of the range. The pay for current SEC employees will be determined according to the procedures specified in the agency's policy. Please visit the agency's Compensation Overview page for more information.

Disability Employment:

For information 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 rated well-qualified; and, (3) submit the appropriate documentation to support your CTAP or ICTAP eligibility. View information about I/CTAP eligibility on OPM's Career Transition Resources website.

Reasonable Accommodation:

If you are an applicant who needs a reasonable accommodation to participate in the SEC application process due to a medical disability, please contact reasonableaccommodation@sec.gov . For religious-based accommodations, please contact religiousaccommodation@sec.gov . 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:

For more information, 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 information, to the agency within 30 calendar days of the date of alleged non-compliance by contacting the Legal and Policy Office in the Office of Human Resources at ElliottT@sec.gov . Candidates should be committed to improving the efficiency of the Federal government, passionate about the ideals of our American republic, and committed to upholding the rule of law and the United States Constitution. 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. How you will be evaluated You will be evaluated for this job based on how well you meet the qualifications above. You will be evaluated for this position based on how well you meet the qualifications listed in this announcement. Your resume and application package will first be reviewed to determine whether you meet the minimum qualification requirements outlined in the announcement. Please do not submit an Accomplishment Record at 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 date of the request to submit it. Failure to submit the Accomplishment Record on time will remove you from further consideration. A response is required even if an Accomplishment Record was submitted at time of application. 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 rating panel will review both your resume and your narrative responses. Your Accomplishment Record must clearly demonstrate your proficiency in the competencies listed in the Qualifications section. Click here for guidance on writing your Accomplishment Record. Your resume must provide evidence that supports the claims in your Accomplishment Record. Each narrative 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 Format:

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

Rating:

The rating panel will evaluate applicants' accomplishment records and resume, then place them into one of the following categories: Highly Qualified

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

Top ranked applicants will be referred to the hiring office for further review and consideration. The hiring office may directly contact recommended candidates for interview(s). To preview the Questionnaire, click https://apply.usastaffing.gov/ViewQuestionnaire/13040125 Required Documents You must provide a complete Application Package, which includes:

Required :

Your responses to the Questionnaire.

Required :

Resume

• Resumes should include relevant work experience, with specific employment dates, that demonstrates qualifications for the specialized experience and competencies as outlined above.

If your resume does not reflect demonstrated evidence of these qualifications, you may not receive consideration for the position. Resumes that exceed two pages will be deemed ineligible and receive no further consideration. For resume writing tips, visit USAJOBS and the SEC careers page. 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).

How to Apply To apply for this position, you must complete the online application and submit the documentation specified in the Required Documents section below. A complete application package must be submitted by 11:59 PM (EST) on the closing date of the announcement to receive consideration. No additional documentation will be accepted after the closing date of the announcement. To begin, click Apply to access the online application. You will need to be logged into your USAJOBS account to apply. If you do not have a USAJOBS account, you will need to create one before beginning the application. Follow the prompts to select your resume and/or other supporting documents to be included with your application package. You will have the opportunity to upload additional documents to include in your application before it is submitted. Your uploaded documents may take several hours to clear the virus scan process. After acknowledging you have reviewed your application package, complete the Include Personal Information section as you deem appropriate and click to continue with the application process. You will be taken to the online application which you must complete in order to apply for the position. Complete the online application, verify the required documentation is included with your application package, and submit the application. To verify the status of your application, log into your USAJOBS account ( https://my.usajobs.gov/Account/Login ), all of your applications will appear on the Welcome screen. The Application Status will appear along with the date your application was last updated. For information on what each Application Status means, visit: https://www.usajobs.gov/Help/how-to/application/status/ . Agency contact information ask HR Email askHR@sec.gov Address Division of Examinations 100 F Street NE Washington, DC 20549 US Next steps You will be notified of your application status through USAJOBS at four points during the hiring process, as applicable. You can check the status of your application by accessing the USAJOBS website at http://usajobs.gov/ and clicking on "Track Your Online Application." By submitting your application, you are certifying the accuracy of the information contained in your application. If you make a false statement in any part of your application, you may not be hired, you may be terminated after you begin work, or you may be fined or jailed. After making a tentative job offer, we will conduct a suitability/security background investigation. You will be required to submit official documentation before appointment. The agency will then verify the information provided on your application (i.e., degree, Veterans' Preference, certification of disability, etc.). Candidates external to the SEC will be allowed to submit a comprehensive resume for pay setting purposes after a tentative offer is made. If the applicant fails to provide the comprehensive resume by the specified deadline, the resume submitted at the time of application will be used to determine pay. No additional documentation will be accepted after the deadline. Securities and Exchange Commission Our mission includes advocating for investors who seek to secure a future for their family, providing guidance and regulations for the nation's securities industry in an increasingly global market, and taking action with an eye toward promoting the capital formation necessary to sustain economic growth. A career with the Securities and Exchange Commission (SEC) offers work that is exciting, challenging and rewarding. You can contribute to securities regulation and enforcement while making a positive difference for the American investing public.

The SEC provides:

Careers that broaden and deepen your already accomplished knowledge, skills and abilities; An environment that allows you to work and learn with the nation's experts; Benefits, compensation and career expansion opportunities; and A balance between your professional and family life. The SEC offers a number of enhanced pay and benefits plus the standard Federal benefits. Please be sure to visit the SEC's compensation and benefits program pages. Agency contact information ask HR Email askHR@sec.gov Address Division of Examinations 100 F Street NE Washington, DC 20549 US Visit our careers page Learn more about what it's like to work at Securities and Exchange Commission, what the agency does, and about the types of careers this agency offers.

https:

//www.sec.gov.