The Office of Risk and Strategy (ORS) within the Division of Examinations is filling two positions for a Lead Research Specialist, SK-0301-13 in one or more of the following locations: Atlanta, GA; Boston, MA; Chicago, IL; Denver, CO; Fort Worth, TX; Los Angeles, LA; Miami, FL; New York, NY; Philadelphia, PA; San Francisco, CA; or Washington DC.

Duties

At the Securities and Exchange Commission (SEC), we are committed to diversity, equity, inclusion and accessibility (DEIA) and value a workforce that reflects the diverse experiences and perspectives of the communities we serve. As such, we welcome applications from qualified individuals of all backgrounds who share our commitment to public service. 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 Lead Research Specialist, you will: Perform registration filing reviews, research and analyses of complex filings, and advise other staff in conducting filing reviews and research assignments consistent with defined policies and procedures. Utilize strong interpersonal and oral communication skills, and act as a liaison and contact for key stakeholders within the Division of Examinations about applicant registration filings and documents under review within the work area. Utilize expert knowledge of EDGAR, Web CRD, IARD and other systems and research skills to identify trends and patterns related to certain registration applications based on filings and document reviews with a goal to inform the examination areas of the exam program. Execute strong written communication skills and utilize subject matter expert knowledge of investment adviser, broker dealer, transfer agent, and municipal advisor registration forms to draft and update procedural and other documents in the work area. Collaborate with management on topics affecting the work area and provides input on registration topics, workflow methods, and procedures to improve internal registration process efficiencies and effectiveness.

Requirements

• You must be a US Citizen.
• 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.
• Supplementary vacancies may be filled in addition to the number stated in this announcement.
• This position has promotion potential to the SK-13.
• PROBATIONARY PERIOD: This appointment may require completion of a one-year probationary 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.
• 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.
• This position is in the collective bargaining unit NTEU Chapter 293.
• This position is eligible to request telework in accordance with the SEC 's telework policy.
• Existing Participants in the SEC’s Remote Telework Program are eligible to apply for this position. If selected, management will evaluate and communicate whether the position will allow for continued participation in Remote Telework.

Qualifications

All qualification requirements must be met by the closing date of this announcement. Time-in-grade for this announcement is one year at the GS/SK-12 level. 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. MINIMUM QUALIFICATION REQUIREMENT: SK-13: Applicant must have at least one year of specialized experience equivalent to the GS/SK-12 level: Applying federal and agency standards to perform and analyze registration filing reviews; AND Utilizing EDGAR, Web CRD, IARD and/or other related systems.

Education

This job does not have an education qualification requirement.

Contacts

• Address Division of Examinations 100 F Street NE Washington, DC 20549 US
• Name: ask HR
• Email: [email protected]