JOB: Staff Accountant, Securities & Exchange Commission, New York City

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    Patrick Fiorenza

    Job Title: Staff Accountant

    Agency: Securities & Exchange Commission

    Job Announcement Number: 11-517790-DQ


    $58,951.00 – $111,695.00 /year


    Friday, August 26, 2011 to Friday, September 02, 2011




    Full Time Career/Career Conditional




    03 vacancies – New York City, NY


    United States Citizens


    Do you want to perform challenging work in a collegial environment, while enjoying quality of life and a competitive compensation package? Invest in your career at the U.S. Securities and Exchange Commission (SEC)!

    The SEC’s mission is to protect investors, maintain fair, orderly, and efficient markets, and facilitate capital formation. The agency seeks high-caliber professionals who share the same values of integrity, fairness, accountability, resourcefulness, teamwork, and commitment to excellence.

    The SEC offers a number of enhanced pay and benefits plus the standard Federal benefits: paid dental insurance and vision insurance and increased agency subsidy for health insurance which supplements your health benefits premiums by $25 for self-only coverage, and $50 for family coverage.

    To find out more, go to

    This position is located in the Northeast Regional Office, New York NY.

    This position may also be filled as Securities Compliance Examiners through vacancy announcement number 11-517958-DQ.

    Salary Range: SK-9; $58,951 – $85,820

    SK-11; $71,329 – $111,695


    • Candidate must be a US Citizen


    Additional Duty Location Info:

    03 vacancies – New York City, NY

    The incumbent serves as a staff accountant in the New York Regional Office planning and conducting securities examinations, developing reports of findings, and providing advice and recommendations for complex examinations and inspections for OCIE areas of program emphasis such as self regulatory organizations, broker-dealers, transfer agents, investment companies, investment advisers, municipal and government securities dealers, and clearing agencies -both clearing corporations and securities depositories which are registered under the Securities Exchange Act of 1934.

    Provides advice and technical support for OCIE examination, investigation and enforcement activities and operations such as reviewing extensive financial statements, evaluating financial accounting systems, coordinating examinations with stock exchanges.

    Reconstructing records, examining and analyzing “street intelligence, “analyzing cash-management systems, reviewing investigatory complaints, planning and leading examinations, investigating new financial products, examining specialized securities such as junk bonds.

    Interviewing principals of registrants and conducting conferences, analyzing performance calculations, analyzing risk, developing surveillance initiatives, developing recommendations and reports, presenting and defending findings, and as required, collaborating with the legal staff and providing technical expertise for investigations and litigation of civil matters, administrative proceedings, and criminal prosecutions where there is an emphasis on securities compliance issues.

    Qualifications and Evaluations


    All qualification requirements must be met by the closing date of this announcement. Qualifying experience may be obtained in the private or public sectors. Qualifying education must have been obtained from an accredited college or university recognized by the Department of Education. Additional information on the qualification requirements is outlined in the OPM Qualifications Standards Handbook of General Schedule Positions. It is available for your review in our office, in other Federal agency personnel offices, and on OPM’s web site at

    Applicants must meet one of the following basic qualification requirements AND one of the following additional qualification requirements by the closing date of this announcement.

    Basic Requirements:

    A. Applicants must show successful completion of a full four-year course of study in an accredited college or university leading to a bachelor’s or higher degree in accounting; or a degree in a related field such as business administration, finance, or public administration that included or was supplemented by 24 semester/36 quarter hours in accounting. The 24 semester/36 quarter hours may include up to 6 semester/9 quarter hours of credit in business law. (The term “accounting” means “accounting and/or auditing”. Similarly, “accountant” should be interpreted, generally, as “accountant and/or auditor”.)


    B. Combination of education and experience — at least four (4) years of experience in accounting, or an equivalent combination of accounting experience, college-level education, and training that provided professional accounting knowledge. The applicant’s background must include ONE of the following:

    — 24 semester/36 quarter hours in accounting or auditing courses of appropriate type and quality.

    This can include up to 6 semester/9 quarter hours of business law;– A certificate as Certified Public Accountant or Certified Internal Auditor, obtained through written examination;


    — Completion of the requirements for a degree that included substantial course work in accounting or auditing, e.g., 15 semester/22 quarter hours, but that does not fully satisfy the 24-semester hour/36-quarter hour requirement in paragraph A, provided that

    (a) the applicant has successfully worked at the full performance level in accounting, auditing, or a related field, e.g., valuation engineering or financial institution examining;

    (b) a panel of at least two higher level professional accountants or auditors has determined that the applicant has demonstrated a good knowledge of accounting and of related and underlying fields that equals in breadth, depth, currency, and level of advancement that which is normally associated with successful completion of the four-year course of study described in paragraph A; and

    (c) except for literal non conformance to the requirement for 24 semester/36 quarter hours in accounting, the applicant’s education, training, and experience fully meet the specified requirements.


    Additional Experience Requirements: In addition to meeting the Basic Requirement:

    Qualifying experience for the SK-9 level: Candidate must possess at least one year of specialized experience equivalent to at least the GS/SK-7 level assisting with the review and evaluation of procedures, practices, and records related to the issuance, distribution, and trading of securities; and applying generally-accepted accounting principles (GAAP) to complex financial instruments.

    SUBSTITUTION OF EDUCATION FOR EXPERIENCE: The experience requirement for the SK-9 level may be met by two (2) full academic years of graduate level education with major study in business administration, finance, or accounting; OR completion of all requirements for a master’s or equivalent graduate degree that included major study in business administration, finance, or accounting; OR completion of all requirements for an LL.B. or J.D. degree. COMBINATION OF EDUCATION AND EXPERIENCE: Equivalent combinations of successfully completed education and experience may be used to meet the experience requirements.

    Qualifying experience for the SK-11 level includes one year of specialized experience at least equivalent to the GS/SK-9 level 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, and (2) the operation of regulatory aspects of securities markets, or the operations of or trading techniques employed in these markets, and and applying generally-accepted accounting principles (GAAP) to complex financial instruments.

    SUBSTITUTION OF EDUCATION FOR EXPERIENCE: Experience requirements at the SK-11 level may be met by three (3) full academic years of graduate level education with major study in business administration, finance, or accounting; OR the successful completion of a Ph.D. or equivalent doctoral degree that includes major study in business administration, finance, or accounting; OR completion of all requirements for an LL.M. degree. COMBINATION OF EDUCATION AND EXPERIENCE: Equivalent combinations of successfully completed education and experience may be used to meet the experience requirements.

    Knowledge, Skills and Abilities: Your resume will be evaluated on the listed KSAs in the occupational questionnaire for this announcement.

      • Knowledge of the federal securities laws, rules and regulations
      • Ability to communicate in writing.
      • Ability to communicate effectively other than in writing.
      • Knowledge of the Examination Process

    Important Notes:

    1. Application procedures are specific to this vacancy announcement. Please read all the instructions carefully. Failure to follow the instructions may result in your not being considered for this position.

    2. Male applicants born after December 31, 1959, must have registered for the selective service. For more information, visit

    3. Multiple vacancies may be filled through this announcement.

    4. This position has promotion potential to the SK-14.

    5. PROBATIONARY PERIOD: This appointment may require completion of a one-year probationary period.

    6. 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.

    7. PERMANENT CHANGE OF STATION (PCS): Moving/Relocation expenses are not authorized.

    8. DIRECT DEPOSIT: All Federal employees are required to have Federal salary payments made by direct deposit to a financial institution of their choosing.

    9. This position is in the bargaining unit.

    Information for veterans: You may be eligible to receive preference in appointment. For more information please visit:

    Surplus or Displaced Federal Employees: For information on how to apply through the Interagency Career Transition Assistance program (ICTAP) see To exercise selection priority for this vacancy, displaced Federal employees must meet the Well Qualified criteria of the rating scale for this position.


    BASIS OF RATING: Candidates who meet the basic qualification requirements for this vacancy will be rated according to the Category Rating Procedures. This means that candidates will be assigned to a pre-defined quality category based on their application and veteran preference. Generally, only candidates in the top quality category will be referred to the hiring manager.

    Individuals with veteran’s preference will be placed ahead of other applicants within the rating category to which they are assigned.

    There will be three quality categories: Highly Qualified, Well Qualified and Qualified

    Benefits and Other Info


    The Federal Government offers a comprehensive benefits package. Explore the major benefits offered to most Federal employees at


    The SEC provides reasonable accommodations to applicants with disabilities. If you need a reasonable accommodation for any part of the application and hiring process, send an email to [email protected] or call 202-551-4158. To request sign language interpreting services for interviews, send an email [email protected] at least 5 business days before the date you will need this service.

    TTY/ASCII users should use the toll free Federal Relay Service number: 1-800-877-8339 and provide the SEC number of the office or individual you are calling. For more information about using the Federal Relay Service see:

    How To Apply


    To be considered for this position, you must submit a complete Application Package.

    Please follow the instructions listed below for submitting the Occupational Questionnaire, Résumé, and Required Documents. Please read all instructions before you begin. You are solely responsible for the delivery of your materials. We cannot be responsible for incompatible software, illegible fax transmissions, etc.

    To begin the process, click the Apply Online button at the bottom of this screen to create an account or log in to your existing USAJOBS account. Follow the prompts to complete the occupational questionnaire. Please ensure you click the Submit My Answers button at the end of the process.

    Note: To return to a previously Saved or Incomplete application you may use the following link:

    To fax supporting documents you are unable to upload, complete this cover page using the following Vacancy ID 517790. Fax your documents to 1-478-757-3144.

    If you cannot apply online:

    1. Click the following link to view and print the occupational questionnaireView Occupational Questionnaire and

    2. Print this 1203FX form to provide your response to the occupational questionnaire and

    3. Fax the completed 1203FX form along with any supporting documents to 1-478-757-3144. Your 1203FX will serve as a cover page for your fax transmission.


    For this job announcement the following documents are required:

    1. Your responses to the Occupational Questionnaire

    2. Résumé

    3. Transcripts, unofficial or official

    4. For Veterans: DD-214; For Disabled Veterans: DD-214, SF-15 and/or VA letter dated 1991 or later (if you are claiming veterans preference)


    Donna M. Quarles
    Phone: (202)551-7452
    Email: [email protected]
    Agency Information:
    Office of Human Resources
    100 F Street NE
    Washington, DC 20549


    After a review of your résumé, required documents and assessment questionnaire is complete, you will be notified of your rating and or referral to the hiring official. If further evaluation or interviews are required, you will be contacted.

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