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| Posted Date : 2009-12-29 |
| Attorney-Advisor |
| Company Name: Confidential |
Job description: SEC RANKED THIRD BEST FEDERAL WORKPLACE FOR 2007!
Do you want to perform challenging work in a collegial environment, while enjoying quality of life and a competitive compensation package? Invest in your career at the **MEMBERS ONLY**SIGN UP NOW***. (SEC)!
The Securities and Exchange Commission's mission is to protect investors, maintain fair, orderly, and efficient markets, and facilitate capital formation. The agency seeks high-caliber executives who share the same values of integrity, fairness, accountability, resourcefulness, teamwork, and commitment to excellence.
The SEC offers a number of exceptional enhanced pay and benefits plus the standard Federal benefits! Enjoy with SEC:
Higher pay than most Federal agencies
Opportunity for yearly performance-based increases
Up to $10,000 a year (60K cap) in student loan repayments for those who meet program criteria
Paid dental insurance and vision insurance
Increased agency subsidy for health insurance which supplements your health benefits premiums by $25 for self-only coverage, and $50 for family coverage
Mass transportation subsidy up to $120 per month
To find out more, go to
****This position is in the Office of Compliance Inspections and Examinations located in Washington, DC.
Salary Range - SK-13: $94,304 - $146,032; SK-14: $108,286 - $167,679.
Key Requirements:
This position is open to the public.
Please read all instructions to ensure that you are applying correctly.
The individual selected may be subject to a security investigation.
This position is in the bargaining unit.
The individual selected may be subject to a one-year trial period.
Major Duties:
Plans and conducts on-site inspections of various regulatory programs at investment advisers and investment companies, self-regulatory organizations (SROs), broker dealers and/or transfer agents. These regulatory programs may include the surveillance examination, investigative and disciplinary programs of investment advisers and investment companies, SROs, broker-dealers, and/or transfer agents and other regulatory programs aimed at the protection of individual investors. Examine the operations and financial conditions of companies, the adequacy of books and records, procedures for safeguarding funds and securities, and methods of doing business. Prepare inspection and examination reports including findings and recommendations. As required, assigned to complex or sensitive inspection and/or examinations of investigations involving investment advisers and investment companies, SROs, broker dealers and/or transfer agents. Review and analyze industry trends and operations. Render advice to others regarding compliance issues found during examinations. Recognize when changes are appropriate for examinations methodology.
Conducts conferences and interviews with a variety of company personnel concerning operational and examination issues to determine possible regulatory violations. Anticipate enforcement needs and gather evidence to support preliminary finding of violations. Prepares a report of findings as well as correspondence to entity outlining deficiencies and corrective actions to be taken. Conduct a wide variety of assignments and processes related to the examination of registrants and liaison activities with the regional offices.
Researches and analyzes problems, issues, trends, and requirements affecting securities compliance. Provides advice on matters related to program development, new developments and techniques.
Travel is required.
Qualifications:
All qualification requirements must be met by the closing date of this announcement. Qualifying experience may be obtained in the private or public sectors. Qualifying education must have been obtained from an accredited college or university recognized by the Department of Education. Additional information on the qualification requirements is outlined in the OPM Qualifications Standards Handbook of General Schedule Positions. It is available for your review in our office, in other Federal agency personnel offices, and on OPM's web site at
****Grade 13:
Applicant must possess a J.D. or LL.B degree and be an active member of the bar in good standing in any state, territory of the United States, the District of Columbia, or the commonwealth of Puerto Rico. In addition the applicant must have two years of specialized post-J.D. experience as an attorney.
Grade 14:
Applicant must possess a J.D. or LL.B. degree and be an active member of the bar in good standing in any state, territory of the United States, the District of Columbia, or the commonwealth of Puerto Rico. In addition, the applicant must have three years of specialized post-J.D. experience as an attorney.
Specialized Experience:
In addition to the minimal qualifications above, applicants must have at least 52 weeks of specialized experience at the next lower grade level as follows. Specialized experience includes experience applying the federal securities laws, rules and regulations to registered securities exchanges, FINRA, SRO's and other registered entities and the ability to handle complex issues. Applicants must have a seasoned knowledge of the securities statutes administered by the SEC, such as the Securities Act of 1934, and the Securities Exchange Act of 1933 as well as knowledge of the operations of broker dealers and SRO's or transfer agents. Applicants must have originality and good judgment in order to recommend solutions to problems identified during inspections of broker dealers and SRO's, registered exchanges, FINRA, and/or other registered entities which are in the public interest.
Knowledge, Skills and Abilities:
Your qualifications will be further evaluated based upon the following KSAs. You are required to complete narratives for each KSA in the occupational questionnaire portion of this announcement. Failure to respond to these narratives may result in you being disqualified for this position.
Ability to perform legal research and analyze information.
Ability to communicate effectively other than in writing.
Ability to communicate effectively in writing.
Knowledge of Federal securities laws, rules, and regulations as they relate to the securities industry.
Ability to perform compliance inspections and examinations.
Important Notes:
1. Application procedures are specific to this vacancy announcement. Please read all the instructions carefully. Failure to follow the instructions may result in your not being considered for this position.
2. To be eligible for Federal employment, male applicants born after December 31, 1959 must certify at the time of appointment that they have registered with the Selective Service System, or are exempt from having to do so under Selective Service law.
3. Supplementary vacancies may be filled in addition to the number stated in this announcement.
4. This position has promotion potential to the SK-
14
5. Applicants chosen for this position may be subject to a one-year trial period.
6. The individual selected may be subject to a security investigation. Favorable results on a background investigation may be a condition for employment or selection to another position. If you do not provide all the information requested, you may lose consideration for this position.
7. Moving expenses are not authorized.
8. All Federal employees are required to have Federal salary payments made by direct deposit to a financial institution of their choosing.
How You Will Be Evaluated:
BASIS OF RATING:
Once the announcement closes, your application will be automatically evaluated and rated by the system and a Human Resources Specialist
. To determine if you are qualified for this job, a review of your application and supporting documentation will be made and compared against your responses to the occupational questionnaire. The numeric rating you receive is based on your responses to the questionnaire. The score is a measure of the degree to which your background matches the knowledge, skills, and abilities required of this position. If, after the Human Resources Specialist
reviews your resume and/or supporting documentation, a determination is made that the score you have received is not a true reflection of your qualifications and/or experience, your score can and will be adjusted to more accurately reflect the information you provided that support your abilities
. Please follow all instructions carefully. Errors or omissions may affect your rating.
Benefits:
This link provides an overview of the benefits currently offered to Federal employees. ****The below links provide quick access to some of the many benefits currently offered to Federal employees:
Flexible Spending Accounts -
The Federal Flexible Spending Accounts Program (FSAFeds) allows you to pay for certain health and dependent care expenses with pre-tax dollars. For additional information visit: ****Health Insurance -
The Federal Employees Health Benefits Program offers over 100 optional plans. For additional information visit: ****Leave -
Most Federal employees earn both annual and sick leave. For additional information visit:
****Life Insurance -
The Federal Employees' Group Life Insurance Program (FEGLI) offers: Basic Life Insurance plus three types of optional insurance, for additional information visit: ****Long Term Care Insurance -
The Federal Long Term Care Insurance Program (FLTCIP) provides long term care insurance for Federal employees and their parents, parents-in-law, stepparents, spouses, and adult children. For additional information visit: ****Retirement Program -
Almost all new employees are automatically covered by the Federal Employees Retirement System (FERS). FERS is a three-tiered retirement plan. The three tiers are: Social Security Benefits, Basic Benefit Plan, Thrift Savings Plan. For additional information visit: ****Other Information:
The SEC provides reasonable accommodations to applicants with disabilities. If you need a reasonable accommodation for any part of the application and hiring process, send an email to ****. To request sign language interpreting services for interviews, send an email to **** at least 5 business days before the date you will need this service. To ****.
TTY/ASCII users should use the **** and provide the SEC number of the office or individual you are calling. For more information about using the Federal Relay Service see:
****
Location USA-DC-Washington
Salary 94,304.00 - 167,679.00 USD /y
Job Url Sign up now!
FOR MORE INFORMATION ABOUT THIS JOB AND TO APPLY PLEASE GO TO http://www.EmploymentCrossing.com
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Career Level: |
| Relevant work experience required: |
| Professional designations, degrees, certification required for the position: |
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| Job type: Full time |
| Travel required: Never |
| Salary Range: Confidential |
| Variable Pay: |
| Benefits: |
| Languages required: |
| Location: Washington,DC,United States |
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Contact name: |
| Phone: |
| Email: jobs@employmentcrossing.com |
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