Securities Compliance Examining
Performs securities compliance work including examination of financial institutions and enforcement of securities laws.
💰GS-1831 Salary Information
2025 Base Pay (before locality adjustment)
| Grade | Step 1 | Step 2 | Step 3 | Step 4 | Step 5 | Step 6 | Step 7 | Step 8 | Step 9 | Step 10 |
|---|---|---|---|---|---|---|---|---|---|---|
| GS-9 | $52,205 | $53,945 | $55,685 | $57,425 | $59,165 | $60,905 | $62,645 | $64,385 | $66,125 | $67,865 |
| GS-11 | $63,163 | $65,268 | $67,373 | $69,478 | $71,583 | $73,688 | $75,793 | $77,898 | $80,003 | $82,108 |
| GS-12 | $75,706 | $78,229 | $80,752 | $83,275 | $85,798 | $88,321 | $90,844 | $93,367 | $95,890 | $98,422 |
| GS-13 | $90,025 | $93,026 | $96,027 | $99,028 | $102,029 | $105,030 | $108,031 | $111,032 | $114,033 | $117,034 |
| GS-14 | $106,382 | $109,928 | $113,474 | $117,020 | $120,566 | $124,112 | $127,658 | $131,204 | $134,750 | $138,296 |
Note: These are 2025 base pay rates. Most federal employees receive locality pay adjustments of 15-40%+ depending on location.
Qualification Requirements
Official OPM qualification standards for GS-1831
Individual Occupational Requirements for GS-1831
⚠️ SEC EXCLUSIVE SERIES: This series is retained for the sole use of the Securities and Exchange Commission.
Education:
Option 1 - Undergraduate:
- Degree in business, economics, or related field
- Must include minimum 24 semester hours in business/economic subjects
- Must include minimum 6 semester hours in accounting/auditing
Option 2 - Graduate:
- Advanced degree in business administration, finance, or accounting
Experience:
GS-5 (General Experience): Background demonstrating knowledge and skill in financial/operational information analysis related to business practices. Must show ability to:
- Exercise tact and diplomacy in extensive personal contacts
- Interpret and apply legal provisions
- Analyze data and prepare clear reports
Above GS-5 (Specialized Experience): Thorough knowledge of accounting, auditing, examining, or investigating principles with experience in:
- Securities issuance, distribution, and trading
- Regulatory market operations
- Broker-dealer, investment adviser, or investment company operations
Qualifying Positions Include:
- Securities examiner at broker-dealers or investment firms
- State/Federal regulatory agency examiner
- Banking professional in securities/investments
- CPA firm auditor for securities industry clients
Associated Group Standard: Use the Group Coverage Qualification Standard for Administrative and Management Positions alongside these Individual Occupational Requirements.
🎖️Tips for Veterans
- ✓Translate military experience: Map duties to civilian terminology.
- ✓Highlight training: Include courses and certifications.
- ✓Veterans preference: Claim your 5 or 10-point preference.
- ✓Experience substitution: Military experience may substitute for education.
📝How to Qualify for GS-1831
Step-by-step guide to landing a federal securities compliance examining position
- 1
Review Qualification Requirements
Read the OPM qualification standards above to understand the education and experience requirements for your target grade level.
- 2
Determine Your Grade Level
Match your years of experience and education to the appropriate GS grade. Generally: GS-5 (entry), GS-7/9 (junior), GS-11/12 (journey), GS-13+ (senior).
- 3
Gather Documentation
Collect your DD-214, SF-50 (if applicable), transcripts, certifications, and any training records that demonstrate your qualifications.
- 4
Build Your Federal Resume
Create a detailed federal resume (2-5 pages) that addresses every qualification requirement. Include hours worked per week, supervisor contact info, and specific accomplishments.
- 5
Apply on USAJOBS
Search for open positions, carefully answer all assessment questions, and submit your application before the closing date.
🎖️Military to Federal Crosswalk
Military jobs that transition to GS-1831
Yeoman
Yeomen manage administrative and financial records, providing a basis for understanding compliance and financial documentation.
💡 Tip:Your unique military experience may qualify you even if your MOS isn't listed.
📋Typical Duties
- •Examine financial institutions
- •Analyze financial records
- •Ensure securities compliance
- •Investigate violations
- •Prepare examination reports
- •Recommend enforcement actions
🎯Key Competencies
Knowledge of SEC regulations and securities laws.
Skill in analyzing financial statements and transactions.
Ability to conduct compliance examinations.
Skill in identifying securities fraud and violations.
Ability to prepare examination reports.
Skill in investigating potential violations.
Ability to explain regulatory requirements.
Skill in reviewing complex financial records.
🔑Resume Keywords
💡 Use these phrases to help ATS systems and human recruiters find your qualifications.
Quick Links
Grade Levels
❓Frequently Asked Questions about GS-1831
What is a Securities Compliance Examiner?
A GS-1831 Securities Compliance Examiner conducts examinations of broker-dealers, investment advisers, and investment companies to ensure compliance with federal securities laws. These specialists analyze financial records, identify securities fraud and violations, and recommend enforcement actions—working exclusively for the Securities and Exchange Commission (SEC).
How much does a SEC Securities Compliance Examiner make?
SEC Compliance Examiners earn between $52,205 (GS-9 Step 1) and $138,296 (GS-14 Step 10) on the 2025 GS scale. However, SEC operates under a different pay system with higher salaries—actual SEC examiner compensation typically ranges from $70,000 to $180,000+ depending on grade and location. DC headquarters and regional offices hire most positions.
What are the requirements for GS-1831 positions?
GS-1831 is exclusive to the SEC and requires a degree in business, economics, or related field with at least 24 semester hours in business/economic subjects including 6 hours in accounting/auditing. Alternatively, an advanced degree in business administration, finance, or accounting qualifies. Deep knowledge of securities laws and financial analysis skills are essential.
Can military experience substitute for education in GS-1831?
The specific educational requirements make direct substitution difficult. However, veterans with accounting, finance, or business degrees combined with military financial management experience are excellent candidates. Experience in military auditing, financial investigations, or comptroller functions provides relevant background when combined with required education.
What is the career progression for Securities Compliance Examiner?
SEC Examiners typically enter at GS-9 and progress rapidly to GS-11/12/13. Senior examiners and team leads reach GS-14. Career paths include specializing in specific exam areas (broker-dealer, investment adviser), transitioning to enforcement roles, or advancing to Branch Chief or regional leadership positions at SEC.
How do I apply for GS-1831 jobs on USAJOBS?
Search USAJOBS.gov for "Securities Compliance Examiner" or "Examiner" at SEC. The SEC headquarters in DC and regional offices are the only employers for this exclusive series. Highlight accounting background, financial analysis skills, and knowledge of securities regulations. CPA, CFA, or Series licenses strengthen applications significantly.
Ready to Apply for GS-1831?
Create a tailored federal resume that meets OPM standards.