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Grade: 11

1 To meet the Qualifications Requirements for General Inspection, Investigation, and Compliance, GS-11, select the option that best describes your education and/or experience background: Answer to this question is required
  • I have 1 YEAR OF SPECIALIZED EXPERIENCE equivalent to the GS-09 level in or related to the work of THIS POSITION that provides the specific knowledge, skills and abilities to perform successfully the duties of THIS POSITION.
  • I have a PH.D. OR EQUIVALENT DOCTORAL DEGREE that provides the knowledge, skills and abilities necessary to do the work of THIS POSITION.
  • I have 3 FULL YEARS OF PROGRESSIVELY HIGHER LEVEL GRADUATE EDUCATION that provided the knowledge, skills and abilities necessary to do the work of THIS POSITION.
  • I have a combination of SPECIALIZED EXPERIENCE and graduate level education equivalent to the GS-09 level in or related to the work of THIS POSITION that provided the specific knowledge, skills and abilities to perform successfully the duties of THIS POSITION.
  • I do not meet any of the above.
2 I have worked in an occupation with a primary duty which required the analysis of various factual scenarios, making written determinations whether that the facts indicated the fiduciary requirements of ERISA or the provisions of the federal/state securities had been violated. Answer to this question is required
  • Yes
  • No
3 Select the response that best describes your experience (as a regular part of your job) in solving problems. Answer to this question is required
  • As a regular part of my job, I have not been responsible for analyzing data or information, interpreting facts, or drawing logical conclusions.
  • With supervision, guidance, or as part of a team or group, I have analyzed data or information, interpreted facts, and drawn logical conclusions.
  • I have independently analyzed data or information, interpreted facts, and drawn logical conclusions.
  • I have led a team or group to analyze data or information, interpret facts, and draw logical conclusions.
4 Select all the responses that describe the methods and sources you have used to gather data and information (check all that apply). Answer to this question is required
  • Research websites
  • Westlaw or Lexis/Nexis or equivalent
  • Fact-finding interviews
  • Case law or legal documents
  • Government regulations
  • Organizational policy manuals
  • Newspapers, magazines, periodicals
  • Trade or professional association journals
  • Financial reports
  • Employee benefit research services (such as RIA, BNA, or equivalent research sites)
  • None of the above
5 Choose all tasks that you have performed. (Check all that apply). Answer to this question is required
  • Identified and applied appropriate investigative methodology and effective fact-finding techniques based on the complexity of the issue.
  • With supervision or as part of a team, gathered information or data; researched and analyzed laws, regulations, and/or procedures; and, applied results of analyses to determine compliance.
  • Independently gathered information or data; researched and analyzed laws, regulations, and/or procedures; and, applied results of analyses to determine compliance.
  • Wrote narrative reports of research, investigative findings, or analysis.
  • With supervision or as part of a team, conducted audits, investigations, or reviews of financial institutions.
  • Independently conducted audits, investigations, or reviews of financial institutions.
  • With supervision or as part of a team, conducted audits, investigations, or reviews in the area of ERISA.
  • Independently conducted audits, investigations, or reviews in the area of ERISA.
  • None of the above.
6 Select the statement that best describes the level of supervision under which you work most effectively. Answer to this question is required
  • I prefer to have a supervisor who sets and assigns my work goals and priorities.
  • I prefer to work collaboratively with a supervisor to develop my work goals and priorities.
  • I prefer to develop my own work goals and priorities and have them approved by a supervisor.
  • I prefer to set goals and priorities for my own work to ensure deadlines are met.
7 Select the environment in which you work most efficiently: Answer to this question is required
  • Routine, specific duties with occasionally changing tasks.
  • Routine, specific duties with constantly changing tasks.
  • Few routine or specific duties, with frequently changing tasks.
  • No routine duties, with an unstructured, creative environment.
8 In situations in which you have been faced with multiple or conflicting priorities, select three options that you would be most likely to use to manage them. NOTE: SELECTING MORE THAN THREE RESPONSES MAY RESULT IN YOUR NOT BEING CREDITED FOR THIS QUESTION. Answer to this question is required
  • Consult with others involved in the task(s).
  • Address least complex issues first; then move on to the larger problems.
  • Address the most urgent (or those with the most immediate impact) first, then address the less pressing issues.
  • Delegate to others or look to see if others can manage the issue(s).
  • Consult with supervisor or project leader to determine priorities.
  • Develop options for addressing multiple issues.
9 Which of the following best reflects your highest level of experience working cooperatively and collaboratively with others? Answer to this question is required
  • I have partnered with one other person with a shared objective to accomplish work or assigned classroom or project team goals.
  • I have participated with my peers as a member of a team, project or work group.
  • I have been designated formally as leader of a team, project or work-group in a work and/or academic setting.
  • None of the above.
10 I have proficiency in using the following technology applications or functions (select all that apply): Answer to this question is required
  • Word processing
  • Spreadsheets
  • Databases
  • Reporting tools (for data mining, statistical analysis, etc.)
  • Research tools (such as Internet search engines, web-based research sites, etc.)
  • None of the above
11 From the following list, select all of the licenses or certifications that you hold. Answer to this question is required
  • Certified Employee Benefit Specialist (CEBS)
  • Certificate in Employee Benefits Law
  • Certified Public Accountant (CPA)
  • State insurance license
  • State Bar
  • Accredited Paralegal certificate
  • Certified Fraud Examiner (CFE)
  • Financial/Investment advisory services (such as Certified Financial Planner, Mortgage Broker, Chartered Financial Analyst, etc.)
  • Actuarial
  • Series 3 License
  • Series 6 License
  • Series 7 License
  • None of the above
12 Select the types of organizations for which you have worked. (Check all that apply.) Answer to this question is required
  • Law firm
  • Accounting firm
  • Banking institution
  • Insurance Company
  • Investment Company
  • Employee Benefits Consulting Firm
  • State Insurance Departments
  • Public policy institution
  • Congress or state legislature
  • Government regulatory agency
  • Human resources department
  • Employee benefit plan
  • Third-party administrator
  • Academic institution
  • In-house corporate counsel
  • Law Enforcement agency
  • Mortgage company
  • None of the above
13 Do you have direct work experience in the area of employee pension or welfare benefit plans and/or Title I of ERISA? Answer to this question is required
  • Yes
  • No
14 Select the answer that best describes your professional experience and knowledge relating to securities, insurance, and investment-related concepts. Answer to this question is required
  • I have extensive professional work experience in financial services dealing with issues of regulatory and firm compliance, as well as principal-level experience relating to the sale, supervision and suitability of all types of securities and insurance-related products.
  • I have work experience in the financial services industry, including the sale of alternative and general-types of securities, as well as insurance products, including health and/or annuity contracts.
  • I have worked in the financial services industry and have developed a working knowledge of general securities and/or insurance products, including health insurance and/or annuity contracts.
  • have an academic background in securities, investments, and insurance, but no professional experience.
  • I have no experience and/or background in securities, investments, and insurance.
15 Select the answer that best describes your knowledge of the financial services industry. Answer to this question is required
  • I have comprehensive knowledge, gained through work experience and training, relating to the structure of firms in the financial services space, including, but not limited to, registered investment advisers, asset management firms, broker-dealers, and insurance companies.
  • I have extensive professional experience working for or with regulatory bodies, self-regulatory organizations (SRO), or compliance departments of firms under the jurisdiction of such entities.
  • I have some work experience and a basic working knowledge regarding the structure of financial services firms and the regulatory environment.
  • I have taken courses which have provided me with a basic understanding of the financial services industry and the various regulatory entities involved.
  • I do not have any substantive experience in or knowledge of the financial services industry.
16 Select the statements that describe your experience in oral communication. (Check all that apply) Answer to this question is required
  • I have orally presented complex technical information in person or by phone.
  • I have conducted interviews to elicit facts or obtain information of a complex nature.
  • I have experience with oral negotiations in adversarial settings or with confrontational individuals or groups.
  • None of the above.
17 I have experience in writing the following (select all that apply): Answer to this question is required
  • Complex narrative reports conveying technical, legal, and/or financial findings.
  • Memoranda, summaries, or abstracts consolidating complex facts in a concise manner.
  • Documents analyzing law, regulation, legislation, or public policy.
  • Correspondence of a complex nature explaining why a practice is not in compliance.
  • None of the above.
18 I have worked in an environment or occupation in which composing complex written correspondence or documents was a primary part of my regular duties. Answer to this question is required
  • Yes
  • No

Grade: 12

1 To meet the Qualifications Requirements for General Inspection, Investigation, and Compliance, GS-12, select the option that best describes your education and/or experience background: Answer to this question is required
  • I have 1 YEAR OF SPECIALIZED EXPERIENCE equivalent to the GS-11 level in or related to the work of THIS POSITION that provided the specific knowledge's, skills and abilities to perform successfully the duties of THIS POSITION.
  • I do not meet the specialized experience requirement described above.
2 Select the statement that best describes the level of supervision under which you work most effectively. Answer to this question is required
  • I prefer to have a supervisor who sets and assigns my work goals and priorities.
  • I prefer to work collaboratively with a supervisor to develop my work goals and priorities.
  • I prefer to develop my own work goals and priorities and have them approved by a supervisor.
  • I prefer to set goals and priorities for my own work to ensure deadlines are met.
3 Select the environment in which you work most efficiently: Answer to this question is required
  • Routine, specific duties with occasionally changing tasks.
  • Routine, specific duties with constantly changing tasks.
  • Few routine or specific duties, with frequently changing tasks.
  • No routine duties, with an unstructured, creative environment.
4 In situations in which you have been faced with multiple or conflicting priorities, select three options that you would be most likely to use to manage them. NOTE: SELECTING MORE THAN THREE RESPONSES MAY RESULT IN YOUR NOT BEING CREDITED FOR THIS QUESTION. Answer to this question is required
  • Consult with others involved in the task(s).
  • Address least complex issues first; then move on to the larger problems.
  • Address the most urgent (or those with the most immediate impact) first, then address the less pressing issues.
  • Delegate to others or look to see if others can manage the issue(s).
  • Consult with supervisor or project leader to determine priorities.
  • Develop options for addressing multiple issues.
5 Select the response(s) that best reflect your effectiveness in a work environment (check no more than 2). NOTE: SELECTING MORE THAN TWO RESPONSES MAY RESULT IN YOUR NOT BEING CREDITED FOR THIS QUESTION. Answer to this question is required
  • I work effectively alone.
  • I work effectively when I am on a small team (for example, two to five people) to accomplish work.
  • I work effectively when I am on a large team (for example, ten or more) to accomplish work.
6 From the following list, select all of the licenses or certifications that you hold. Answer to this question is required
  • Certified Employee Benefit Specialist (CEBS)
  • Certificate in Employee Benefits Law
  • Certified Public Accountant (CPA)
  • State insurance license
  • State Bar
  • Accredited Paralegal certificate
  • Certified Fraud Examiner (CFE)
  • Financial/Investment advisory services (such as Certified Financial Planner, Mortgage Broker, Chartered Financial Analyst, etc.)
  • Actuarial
  • None of the above
7 Do you have knowledge of Title I of ERISA laws and regulations or Federal or State securities laws? Answer to this question is required
  • Yes
  • No
8 From the list below, select all of the areas of law and regulation for which you have detailed knowledge (check all that apply). Answer to this question is required
  • Title I of ERISA
  • Tax
  • Financial
  • Accounting/Auditing
  • Business
  • Securities
  • Insurance
  • Investment
  • None of the above.
9 Select the types of organizations for which you have worked. (Check all that apply.) Answer to this question is required
  • Law firm
  • Accounting firm
  • Banking institution
  • Insurance Company
  • Investment Company
  • Employee Benefits Consulting Firm
  • State Insurance Departments
  • Public policy institution
  • Federal or state legislative office
  • Government agency
  • Human resources department
  • Employee benefit plan
  • Third-party health plan administrator
  • Third-party pension plan administrator
  • Academic institution
  • In-house corporate counsel
  • None of the above
10 Do you have direct work experience in the area of employee pension and welfare benefit plans and/or Title I of ERISA? Answer to this question is required
  • Yes
  • No
11 Select the answer that best describes your professional experience and knowledge relating to securities, insurance, and investment-related concepts. Answer to this question is required
  • I have extensive professional work experience in financial services dealing with issues of regulatory and firm compliance, as well as principal-level experience relating to the sale, supervision and suitability of all types of securities and insurance-related products.
  • I have work experience in the financial services industry, including the sale of alternative and general-types of securities, as well as insurance products, including health and/or annuity contracts.
  • I have worked in the financial services industry and have developed a working knowledge of general securities and/or insurance products, including health insurance and/or annuity contracts.
  • have an academic background in securities, investments, and insurance, but no professional experience.
  • I have no experience and/or background in securities, investments, and insurance.
12 Select the answer that best describes your knowledge of the financial services industry. Answer to this question is required
  • I have comprehensive knowledge, gained through work experience and training, relating to the structure of firms in the financial services space, including, but not limited to, registered investment advisers, asset management firms, broker-dealers, and insurance companies.
  • I have extensive professional experience working for or with regulatory bodies, self-regulatory organizations (SRO), or compliance departments of firms under the jurisdiction of such entities.
  • I have some work experience and a basic working knowledge regarding the structure of financial services firms and the regulatory environment.
  • I have taken courses which have provided me with a basic understanding of the financial services industry and the various regulatory entities involved.
  • I do not have any substantive experience in or knowledge of the financial services industry.
13 Select the option that best describes your experience which demonstrates your knowledge of, and ability to plan, evaluate and conduct enforcement/compliance projects regarding Title I of ERISA or securities law. Answer to this question is required
  • I have not had education, training or experience in performing this task.
  • I have had education and/or training regarding this task, but have not yet performed it on the job.
  • I have performed this task with close supervision from a supervisor or senior employee.
  • I have independently performed this task as a regular part of the job, usually without review by a supervisor or senior employee.
  • This task has been a central or major part of my work. I have trained others in performance of this task and/or others have consulted me as an expert for assistance in performing this task.
14 Select the statements that describe your experience in oral communication. (Check all that apply) Answer to this question is required
  • I have orally presented complex technical information in person or by phone.
  • I have conducted interviews to elicit facts or obtain information of a complex nature.
  • I have experience with oral negotiations in adversarial settings or with confrontational individuals or groups.
  • I have been successful in influencing others with my ideas and recommendations.
  • I have presented and/or defended complex or highly technical findings to senior level managers or officials.
  • None of the above.
15 I have experience in writing the following (select all that apply): Answer to this question is required
  • Complex narrative reports conveying technical, legal, and/or financial findings.
  • Memoranda, summaries, or abstracts consolidating complex facts in a concise manner.
  • Documents analyzing law, regulation, legislation, or public policy.
  • Correspondence of a complex nature explaining why a practice is not in compliance.
  • None of the above.
16 I have worked in an environment or occupation in which composing complex written correspondence or documents was a primary part of my regular duties. Answer to this question is required
  • Yes
  • No
17 Select all the responses that describe your work experience (check all that apply): Answer to this question is required
  • I have been responsible for coordinating a team project.
  • I have served as a mentor or coach for junior or incoming employees.
  • I have provided or conducted instruction or training to less senior employees.
  • I have been responsible for conducting meetings with or making presentations to external stakeholders.
  • I have been responsible for conducting meetings with or making presentations to external stakeholders.
  • None of the above.
18 Choose all tasks that you have performed. (Check all that apply). Answer to this question is required
  • Identified and applied appropriate investigative methodology and effective fact-finding techniques based on the complexity of the issue.
  • With supervision or as part of a team, gathered information or data; researched and analyzed laws, regulations, and/or procedures; and, applied results of analyses to determine compliance.
  • Independently gathered information or data; researched and analyzed laws, regulations, and/or procedures; and, applied results of analyses to determine compliance.
  • Wrote narrative reports of research, investigative findings, or analysis.
  • With supervision or as part of a team, conducted audits, investigations, or reviews of financial institutions.
  • Independently conducted audits, investigations, or reviews of financial institutions.
  • With supervision or as part of a team, conducted audits, investigations, or reviews in the area of Title I of ERISA.
  • Independently conducted audits, investigations, or reviews in the area of Title I of ERISA.
  • None of the above.
19 From the list below, choose all of the tasks that you have performed as a regular part of your job (check all that apply). Answer to this question is required
  • Reviewed and/or analyzed plan documents or plan operations for consistency with Title I of ERISA.
  • Reviewed and/or analyzed plan documents to carry out plan operations consistent with Title I of ERISA.
  • Reviewed and/or analyzed financial data to carry out plan operations consistent with Title I of ERISA.
  • Drafted and/or provided consulting assistance in the development of ERISA plan documents or carrying out Title I of ERISA plan operations.
  • As an attorney, provided legal counsel or services related to Title I of ERISA.
  • None of the above.
20 Select all the responses that describe the methods and sources you have used to gather data and information (check all that apply). Answer to this question is required
  • Research websites
  • Westlaw or Lexis/Nexis (or equivalent)
  • Fact-finding interviews
  • Case law or legal documents
  • Government regulations
  • Organizational policy manuals
  • Newspapers, magazines, periodicals
  • Trade or professional association journals
  • Financial reports
  • Employee benefit research services (such as RIA, BNA, or equivalent research sites)
  • None of the above

Grade: All Grades

1 I understand that the responses I selected in this questionnaire must be fully supported by detailed descriptions of my work experiences in my resume. In the event that my responses are not supported by my resume, the human resources office will amend my responses to more accurately reflect the level of competency demonstrated in my resume. Answer to this question is required
  • Yes
  • No
2 I understand submission of supporting documentation, e.g., transcripts, DD-214, SF-50, may be required for this position. I also understand that my application will not be considered if the required supporting documentation is not submitted or is not submitted in accordance with the time frames indicated in the announcement. Answer to this question is required
  • Yes
  • No
3 Where did you learn about this Department of Labor job opportunity? Answer to this question is required
  • DOL Website
  • USAJOBS
  • DOL Employee (former or current)
  • Employment Office (Federal, State, or Local)
  • Friend or Relative
  • Job Fair, Conference or Convention
  • Public Notice or Service Announcement
  • Radio/Television Broadcast/Magazine Ads
  • Government Recruitment at School
  • Other
  • Email recruitment communication