Lead Business Analyst
About This Position
The Division of Examinations is seeking a Securities Compliance Examiner, SK-1831-16 in the Office of Risk & Strategy to serve as 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.
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 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. 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: 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 Providing briefings to senior management.; AND 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.
Major Duties
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.
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.
How You Will Be Evaluated
Your resume and application package will first be reviewed to determine whether you meet the minimum qualification requirements outlined in the announcement. If you are found minimally qualified, the Office of Human Resources will contact you to request an Accomplishment Record.
You will have 3 business days from the date of the request to submit it. Failure to submit the Accomplishment Record on time will remove you from further consideration. Because of the short turnaround time, you are strongly encouraged to begin preparing your Accomplishment Record in advance. Once your Accomplishment Record is received, a rating panel will review both your resume and your narrative responses.
Your Accomplishment Record must clearly demonstrate your proficiency in the competencies listed in the Qualifications section.
Click here for guidance on writing your Accomplishment Record.
Your resume must provide evidence that supports the claims in your Accomplishment Record. Each narrative must describe one specific, relevant example from your experience or training. Responses are limited to 300 words per competency; any text beyond this limit will not be reviewed.
You must upload one document containing your narrative responses for all four competencies. Failure to address each competency annotated on the announcement or failure to provide the correct document will result in loss of further consideration. Please
note: A Performance Appraisal does not satisfy the requirement for an Accomplishment Record. Required Accomplishment Record Format: Applicant First Name and Last Name 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 Reference checks may be conducted as part of the final selection process, and you will be notified before any contacts are made. 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). To preview the Questionnaire, click https://apply.usastaffing.gov/ViewQuestionnaire/12994824
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. Disability Employment: For information on disability appointments, click here.
Reasonable Accommodation: If you are an applicant who needs a reasonable accommodation to participate in the SEC application process due to a medical disability, please contact [email protected]. For religious-based accommodations, please contact [email protected] . Please be sure to submit your request at least 5 business days in advance of the date you need the requested accommodation.
Equal Employment Opportunity (EEO) Information for SEC Job Applicants: For more information, please click here. The Fair Chance Act prohibits specific inquiries concerning an applicant's criminal or credit background unless the hiring agency has made a conditional offer of employment to the applicant. An applicant may submit a complaint, or any other information, to the agency within 30 calendar days of the date of alleged non-compliance by contacting the Legal and Policy Office in the Office of Human Resources at [email protected].
How to Apply
To apply for this position, you must complete the online application and submit the documentation specified in the Required Documents. A complete application package must be submitted by 11:59 PM (EST) on the closing date of the announcement to receive consideration. No additional documentation will be accepted after the closing date of the announcement. To begin, click Apply to access the online application.
You will need to be logged into your USAJOBS account to apply. If you do not have a USAJOBS account, you will need to create one before beginning the application.
Follow the prompts to select your resume and/or other supporting documents to be included with your application package.
You will have the opportunity to upload additional documents to include in your application before it is submitted.
Your uploaded documents may take several hours to clear the virus scan process.
After acknowledging you have reviewed your application package, complete the Include Personal Information section as you deem appropriate and click to continue with the application process.
You will be taken to the online application which you must complete in order to apply for the position.
Complete the online application, verify the required documentation is included with your application package, and submit the application. To verify the status of your application, log into your USAJOBS account (https://my.usajobs.gov/Account/Login), all of your applications will appear on the Welcome screen. The Application Status will appear along with the date your application was last updated. For information on what each Application Status means, visit: https://www.usajobs.gov/Help/how-to/application/status/.
Required Documents
You must provide a complete Application Package, which includes: Required: Your responses to the 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, if applicable: CTAP documentation (a copy of a separation notice or other proof of eligibility for priority selection; a copy of an SF-50, Notification of Personnel Action, showing current position, grade, promotion potential, and duty location; AND a copy of your most recent performance appraisal.) SEC EMPLOYEES: OHR will verify your competitive service eligibility via the SEC's personnel database.