Individual Occupational Requirements for
GS-1831: Securities Compliance Examining Series
The text below is extracted verbatim from
Section IV-B of the Operating Manual for Qualification Standards
for General Schedule Positions (p.IV-B-242), but contains minor edits
to conform to web-page requirements.
Use these individual occupational requirements in conjunction with
the "Group Coverage Qualification Standard for
Administrative and Management Positions."
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.
Major study--business administration, finance, or accounting.
OR
EXPERIENCE
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.
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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