Clarification from the agency

This position is open to: Well-qualified surplus/displaced SEC employees (i.e., CTAP) in the local area and current Division of Examinations employees

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 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:

• Plan and assign work, advise 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 the capacity of legal adviser and counselor, 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

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.
• SELECTIVE SERVICE: Males born after 12/31/59 must be registered or exempt from Selective Service (see https://www.sss.gov/).
• 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.
• TRIAL PERIOD: Consistent with 5 U.S.C. § 7511, you will be required to serve a two-year trial period (one year for preference eligible veterans) if the position to which you have applied is not the same or similar to your current position of record.
• 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 choosin
• This position is not in the collective bargaining unit NTEU Chapter 293.
• 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.
• This position has promotion potential to the SK-17.
• 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.

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. Qualifying education must have been obtained from an accredited college or university recognized by the U.S. Department of Education. All qualification requirements must be met by the closing date of this announcement.

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:

1. Providing legal advice on federal securities laws and compliance issues as they relate to securities-related financial institutions, such as broker-dealers, clearing agencies, transfer agents, municipal advisers, investment advisers, investment companies, security-based swap dealers, private funds or 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.

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

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

Critical Thinking: Considers a variety of factors, general and subject matter-specific, when making decisions and determining next steps in a case.

Managing Information (core): Ability to ensure that programs strategically utilize and share information, with some guidance.

Teamwork and Collaboration: Interacts with internal and external others in a manner that advances examinations and SEC goals and objectives.

How you will be evaluated

You will be evaluated for this job based on how well you meet the qualifications above.

Your resume and application package will be reviewed to determine whether you meet the qualification requirements outlined in this announcement.

Your qualifications will be assessed through a two-step screening process:

1. Minimum Qualifications Resume Review
2. Accomplishment Record Review

If you are found minimally qualified through the resume review, a rating panel will review your resume and Accomplishment Record narratives. Accomplishment Record narrative should clearly demonstrate your proficiency in the competencies listed in the Qualifications section. Submitting a Performance Appraisal does not fulfill the requirement for an Accomplishment Record.

Your resume must provide evidence that supports the claims made in your Accomplishment Record narratives; both documents must effectively showcase your qualifications. Each competency narrative should detail one specific, relevant example from your training or experience. Please limit each response to a maximum of 300 words, as any text beyond this limit will not be considered during the evaluation. You will upload one document with your narrative responses addressing each of the four competencies. Your responses must be in the below 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

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). When the selection is made, applicants will be sent a referral status notification and a final disposition notification.

To preview the Questionnaire, click https://apply.usastaffing.gov/ViewQuestionnaire/12923111

You must provide a complete Application Package, which includes:

• Required: Your responses to the Occupational 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: Accomplishment Record - The Accomplishment Record is a set of narrative responses that demonstrate your proficiency in the competencies listed. These narratives support your resume by providing specific examples from your training or experience. For each competency, you must provide a 300 word or less written narrative (text only) describing one example of competency-related experience. Text beyond this limit will not be considered. This document must be uploaded to the application under Accomplishment Record. An accomplishment record submitted outside the USA Staffing system will not be accepted. Failure to provide the Accomplishment Record in the correct format will result in an ineligible rating.

SEC EMPLOYEES: OHR will verify your competitive service eligibility via the SEC's personnel database.

Next steps

Additional locations