Summary

The Division of Examinations is seeking a Securities Compliance Examiner, SK-1831-16 in the Office of Risk & Strategy to serveas Lead Business Analyst for the Division's process and IT modernization project. If selected, you will serve as the project's senior adviser and subject-matter expert on examinations processes.

Duties

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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. You will be responsible for leading key workstreams; delivering measurable results with little or no guidance; and ensuring that process improvements and modernization efforts align with examiner needs, established policies, and the Division's mission and objectives.

As a Lead Business Analyst, you will be responsible for:

• Applying extensive knowledge of the examination process, including by working with a team to identify current state workflows and representing examiners' needs in governance and project discussions;
• Planning, organizing, and carrying through to completion substantive workstreams for major Division-wide projects which will require assessment of processes, coordination of cross-functional contributors, engagement with staff across the Division, and performance measurement;
• Collaborating with project team members, Division leadership, and other SEC stakeholders on project governance, project management, staff outreach, and training;
• Producing well-constructed, analytical, written reports and presentations, synthesizing complex information into actionable recommendations, for senior staff from across the Division and the SEC;
• Synthesizing stakeholder input, including examiner feedback, leadership guidance, and technical constraints, into actionable deliverables; and
• Assisting and leading in developing or enhancing existing processes, tools, data sets, and applications that assist the Division in executing its risk-based examination approach.

Requirements

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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/).
• 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.
• If selected, you may receive a salary increase for the duration of the temporary promotion. You will be returned to your original salary at the end of the appointment.
• The selectee is required to report to the duty station(s) listed.
• This is a temporary promotion not-to-exceed one year from the date of appointment to the position. The temporary promotion may be extended for up to four years.
• This appointment may be extended OR it may end at any time during the course of the appointment at the discretion of management. Applicants should also be available for possible extension, if needed.

Qualifications

Time-in-grade for this announcement is one year at the GS/SK-14 level.

Applicants are responsible for confirming all required materials are submitted by the closing date of the announcement. Please check the HowYou 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-16: Applicant must have at least one year of specialized experience equivalent to the GS/SK-14 level. Specialized experience includes:

1. Analyzing data and information to identify emerging risks related to broker-dealers, clearing agencies, transfer agents, municipal advisers, investment advisers, investment companies, security-based swap dealers, private funds or self-regulatory organizations; AND
2. Providing briefings to senior management.; AND
3. Developing recommendations and/or reports of findings to address and resolve issues related to broker-dealers, clearing agencies, transfer agents, municipal advisers, investment advisers, investment companies, security-based swap dealers, private funds or self-regulatory organizations.

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

• Program Management: Ability to develop and execute programs to deliver results that efficiently and effectively meet agency's mission, strategic plan and goals, with little or no guidance.
• Examwork: Effectively conducts examwork activities (whether onsite, correspondence, etc.) in a professional manner to procure information from an entity under examination.
• Technical Communication: Ability to translate technical information into non-technical terms and accurately convey technical information to end users (e.g., staff, management) and outside parties, including the technical documentation of applications, systems, Standard Operating Procedures, etc.
• Teamwork and Collaboration: Interacts with internal and external others in a manner that advances examinations and SEC 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. The pay for current SEC employees will be determined according to the procedures specified in the agency's policy. If your selection results in a change in grade from an SK-15 to an SK-16, you will maintain your current salary.

IMPORTANT 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.

Benefits

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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 windowLearn more about federal 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.