All qualification requirements must be met by the closing date of this announcement.

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-12: Applicant must have at least one year of specialized experience equivalent to the GS/SK-level 11. Specialized experience includes the following below:

1. Performing at least two of the following functions: (1) Participating in audits, examinations, investigations, or internal compliance reviews of securities-related financial institutions such as investment advisers, investment companies, broker-dealers, clearing agencies, or transfer agents; (2) assisting with the review of procedures, practices, and records related to the issuance, distribution, and trading of securities; (3) performing investment analysis, and/or management of securities; (4) assisting in the adoption, implementation, or testing of internal controls or internal risk management programs (such as cybersecurity risk management) of financial organizations; (5) engaging in securities trading, portfolio management, or investment management; or (6) engaging in back office support functions such as settlements, clearances, record maintenance, accounting, and IT services for securities-related financial institutions; AND
2. Preparing reports, memoranda, or other documents based on the activities described in choice 1 above; AND
3. Identifying and analyzing compliance issues at registrants, such as issues with disclosure, recordkeeping, financial reporting, or prohibited activities; AND
4. Interpreting and applying the provisions of the Investment Advisers Act and/or the Investment Company Act and any related rules and regulations; AND
5. Performing and facilitating interviews to gather operational data and information from employees and management; AND
6. Analyzing data gathered through any of the processes listed above.

SK-13: Applicant must have at least one year of specialized experience equivalent to the GS/SK-level 12. Specialized experience includes the following below:

1. Performing at least two of the following functions: (1) Examining, auditing investigating or performing internal compliance reviews of securities-related financial institutions such as investment advisers, investment companies, broker-dealers, clearing agencies, or transfer agents; (2) assisting with the review of procedures, practices, and records related to the issuance, distribution, and trading of securities; (3) performing investment analysis, and/or management of securities; (4) assisting in the adoption, implementation, or testing of internal controls or internal risk management programs (such as cybersecurity risk management) of financial organizations; (5) engaging in securities trading, portfolio management, or investment management; or (6) engaging in back office support functions such as settlements, clearances, record maintenance, accounting, and IT services for securities-related financial institutions; AND
2. Developing recommendations and/or reports of findings to resolve issues; AND
3. Identifying and analyzing compliance issues such as issues with disclosure, recordkeeping, financial reporting, or prohibited activities; AND
4. Interpreting and applying the provisions of the Investment Advisers Act and/or the Investment Company Act and any related rules and regulations; AND
5. Performing and facilitating interviews to gather operational data and information from employees and management; AND
6. Analyzing and reporting on financial data using a relational database management system 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-level 13. Specialized experience includes the following below:

1. Performing at least two of the following functions: (1) Examining, auditing investigating or performing internal compliance reviews of securities-related financial institutions such as investment advisers, investment companies, broker-dealers, clearing agencies, or transfer agents; (2) assisting with the review of procedures, practices, and records related to the issuance, distribution, and trading of securities; (3) performing investment analysis, and/or management of securities; (4) assisting in the adoption, implementation, or testing of internal controls or internal risk management programs (such as cybersecurity risk management) of financial organizations; (5) engaging in securities trading, portfolio management, or investment management; or (6) engaging in back office support functions such as settlements, clearances, record maintenance, accounting, and IT services for securities-related financial institutions; AND
2. Developing recommendations and/or reports of findings to resolve issues; AND
3. Conducting briefings for management and/or representing the organization at briefings, meetings or conferences; AND
4. Identifying and analyzing compliance issues, such as issues with disclosure, recordkeeping, financial reporting, or prohibited activities; AND
5. Interpreting, applying and advising on the provisions of the Investment Advisers Act and/or the Investment Company Act and any rules and regulations; AND
6. Analyzing and reporting on financial data using a relational database management system or through advanced skills with spreadsheets such as Microsoft Excel.