Securities Compliance Examining Series, 1831

Individual Occupational Requirements

Education

Undergraduate Education: Major study--business, economics, or other field that included or was supplemented by at least 24 semester hours in business or economic subjects and that included 6 semester hours in accounting/auditing.

Graduate Education: Major study--business administration, finance, or accounting.

OR

Experience

General Experience (for GS-5 positions): Experience that provided knowledge and skill in the study, development, and evaluation of financial or operational information pertaining to the business practices and management structure of organizations. Work must have provided the ability to:

• Use tact and diplomacy in situations requiring extensive personal contacts to develop information and maintain good relations;
• Understand legal provisions, regulations, and general principles and apply them to specific situations; and
• Analyze numerical and written data, draw conclusions, and prepare clear and concise reports.

These abilities may have been gained in work such as:

• Application of accounting and auditing principles, techniques, and practices in the inspection and evaluation of books, records, and financial statements in accordance with recognized accounting standards and practices.
• Investigation, examination, and analyses of financial and management reports and data for compliance with requirements prescribed by government, industry, and trade association bodies.
• Development, organization, analyses, and interpretation of substantive program management information and evaluative reports on the effectiveness of operating programs and the adequacy of information maintained.

Specialized Experience (for positions above GS-5): Experience that provided a thorough knowledge of accounting, auditing, examining, or investigating principles, techniques, and practices and that involved review and evaluation of procedures, practices, and records related to (1) the issuance, distribution, and trading of securities, (2) the operation of regulatory aspects of securities markets, or the operations of or trading techniques employed in these markets, or (3) the financial management, structure, operations, and practices of broker-dealers, investment advisers, investment companies, or other related organizations. Examples include responsible work in the following areas:

• Experience in a broker-dealer, investment company, transfer agent, investment adviser, or investment banking firm.
• Experience in a State, Federal, or self-regulatory agency involving examination of the operations of broker-dealers, transfer agents, investment companies, investment advisers, banking institutions, or of the books and records of other reporting companies or equivalent complex records.
• Banking experience related to securities investments, or experience in the investment department of an insurance company.
• Professional work as an accountant or auditor in a certified public accounting firm or public accounting firm involving audits of brokerage firms, underwriters, underwriting firms, investment companies, investment advisers, or of reporting companies.

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