fed2civ

GS-1831 Securities Compliance Examining Transition Guide

Explore how your federal experience as a Securities Compliance Examining (GS-1831) translates into civilian opportunities — including salary comparisons, transferable skills, certifications, and top employers.

GS Level Mappings

Understand how your GS level aligns with common corporate roles, responsibilities, and compensation. This helps frame your experience in terms that civilian employers recognize.

GS Level Group Corporate Titles Responsibilities Salary Range
1-4 Junior Compliance Analyst, Compliance Assistant, Regulatory Affairs Assistant Assist in the examination of compliance reports; support the compliance officer by gathering documentation; conduct preliminary assessments of securities compliance issues; document findings and assist in preparing reports. $40,000 - $60,000
5-7 Compliance Analyst, Regulatory Compliance Specialist, Securities Compliance Officer Evaluate compliance with federal regulations, analyze data for trends and reporting; provide guidance on compliance-related inquiries; support senior compliance officers in audits; assist in implementing compliance programs. $60,000 - $80,000
8-9 Senior Compliance Analyst, Senior Regulatory Affairs Specialist, Compliance Manager Lead compliance audits and regulatory investigations; develop and revise compliance policies; provide training to junior staff; review and analyze complex compliance issues; liaise with regulatory authorities. $80,000 - $100,000
10-11 Compliance Program Manager, Lead Securities Compliance Officer, Senior Compliance Consultant Oversee compliance programs across organizations; manage complex regulatory investigations; create comprehensive compliance strategies; advise executive management on compliance risks and mitigation strategies; prepare compliance reports for senior management and stakeholders. $100,000 - $130,000
12-13 Director of Compliance, Head of Regulatory Affairs, Chief Compliance Officer Develop overall compliance strategy for firm; lead teams in ensuring compliance with regulations; communicate with key stakeholders and regulatory bodies; analyze risks and implement corrective actions; oversee compliance audits and investigations. $130,000 - $170,000
14-15 Senior Director of Compliance, Vice President of Regulatory Compliance, Executive Compliance Officer Establish and manage enterprise-wide compliance programs; report directly to executive management and board; ensure corporate wide adherence to legal and regulatory obligations; oversee budgeting for compliance initiatives; drive regulatory change management within the organization. $170,000 - $220,000
SES Chief Compliance Executive, Senior Vice President of Compliance, Global Head of Compliance Direct and oversee all compliance functions for a multinational corporation; ensure comprehensive compliance culture and practices at all levels; represent the organization in regulatory matters; develop and enforce compliance policies globally; set long-term compliance strategy in alignment with business goals. $220,000 - $300,000

Transferable Skills

Highlight the skills you've developed in federal service that directly apply to private sector roles. These core strengths help you stand out in interviews and on resumes.

  • • Analytical skills: Ability to evaluate complex financial data and assess compliance with regulations.
  • • Attention to detail: Ensuring accurate reviews of documents and reports to identify discrepancies or issues.
  • • Knowledge of financial regulations: Understanding of securities laws and regulations that can be applicable in compliance roles in different sectors.
  • • Report writing: Skill in drafting detailed reports summarizing findings and recommendations for stakeholders.
  • • Communication skills: Proficient in conveying complex regulatory information to diverse audiences, including non-experts.
  • • Problem-solving skills: Ability to identify compliance issues and develop effective solutions or corrective actions.
  • • Investigative skills: Experience in conducting thorough investigations and inquiries related to compliance violations or breaches.
  • • Risk assessment: Ability to evaluate potential risks associated with financial practices and recommend mitigation strategies.
  • • Project management: Ability to manage compliance projects or initiatives, ensuring they are delivered on time and within scope.
  • • Interpersonal skills: Strong ability to work collaboratively with teams and engage with various stakeholders, including senior management and external regulators.

Certifications & Education

Explore certifications and academic paths that enhance your value in the civilian job market. These credentials can bridge gaps and validate your expertise to employers.

  • Certified Regulatory Compliance Manager (CRCM)

    The CRCM certification provided by the Institute of Certified Bankers demonstrates expertise in compliance management and regulatory expectations in financial services. This credential equips professionals with the necessary skills to navigate complex regulations, making them invaluable to firms seeking compliance with securities laws in the private sector.

  • Chartered Financial Analyst (CFA)

    The CFA designation is recognized globally and signifies a high level of competence in investment management and financial analysis. For a GS-1831 professional, this certification enhances their analytical skills and understanding of financial markets, giving them a competitive edge in roles related to investment compliance and risk management.

  • Certified Anti-Money Laundering Specialist (CAMS)

    CAMS certification focuses on the prevention and detection of money laundering, a critical aspect of compliance within the finance and securities sectors. Possessing this certification shows employers that the candidate is adept at identifying risks, thereby increasing their employability in roles that require vigilance against financial crimes.

  • Financial Industry Regulatory Authority (FINRA) Licenses

    Holding a FINRA license, such as the Series 7 or 24, signifies a comprehensive understanding of the securities industry and regulatory environment. For individuals transitioning from GS-1831 roles, these licenses validate their expertise to assess compliance across various financial products, enhancing their attractiveness to prospective employers.

  • Master of Business Administration (MBA) with a focus on Finance

    An MBA specializes in advanced finance can provide a strong foundation in business principles and financial management. This education enhances a candidate's understanding of the broader economic environment, which is beneficial for roles in management or advisory positions in the financial services industry.

  • Certified Information Systems Auditor (CISA)

    CISA certification demonstrates one's ability to assess the adequacy of information systems controls, especially concerning compliance and regulatory frameworks. This is valuable for positions that require oversight of IT systems used for securities compliance, showcasing a blend of technology and regulatory expertise.

Typical Employers

See which companies and industries commonly hire professionals with your background. Use this insight to focus your job search and tailor your applications.

  • Investment firms
  • Brokerage firms
  • Financial institutions
  • Insurance companies
  • Private equity firms
  • Venture capital firms
  • Hedge funds
  • Corporate compliance departments
  • Law firms specializing in securities law
  • Regulatory compliance consultancies
  • Securities exchanges
  • Accountancy firms with advisory services
  • Risk management firms

Career Transition Advice

Get practical strategies to navigate the shift from federal to private sector work. Learn how to present your experience and avoid common transition pitfalls.

  • Leverage your expertise in securities compliance to transition into roles within financial regulatory agencies or private sector compliance departments, focusing on your understanding of laws and regulations.
  • Highlight any project management skills you developed while overseeing compliance processes in your GS-1831 role, as these are valuable in both the public and private sectors.
  • Develop a strong personal brand on LinkedIn by sharing insights and articles relevant to securities compliance; this will attract the attention of recruiters in your desired industry.
  • Consider obtaining additional certifications, such as the Certified Regulatory Compliance Manager (CRCM) or Certified Compliance and Ethics Professional (CCEP), to enhance your qualifications and marketability to potential employers.
  • Network with professionals in the finance and compliance sectors to gain insights about job opportunities and trends, allowing you to tailor your applications effectively.

Industry Trends

Stay informed on how your field is evolving and where opportunities are growing. These trends can guide your next steps and help you future-proof your career.

  • 📈 Increased regulatory scrutiny on financial markets and institutions, leading to higher demand for compliance examiners to ensure adherence to new laws and regulations.
  • 📈 Technological advancements in financial compliance processes, including the use of artificial intelligence and machine learning for monitoring and reporting, creating a need for professionals with tech-savvy skills in the compliance field.
  • 📈 Growing emphasis on risk management and cybersecurity in the financial sector, driving a demand for compliance professionals who can assess and mitigate potential risks associated with fraud and data breaches.
  • 📈 Expanding global markets and cross-border transactions necessitating compliance examiners with knowledge of international regulations and standards for securities, increasing job opportunities in this area.
  • 📈 Heightened focus on environmental, social, and governance (ESG) compliance, as stakeholders demand more transparent reporting on sustainability practices, leading to evolving roles within the securities compliance examination field.

General Transition Advice

Transitioning from a federal GS-1831 Securities Compliance Examining role to a position in the private sector can be a rewarding yet challenging journey. Here’s a comprehensive guide to help you make that transition smoothly and effectively.

Key Mindset Shifts

  1. Embrace Flexibility: The private sector often values adaptability and quick decision-making. Unlike the structured environment of federal employment, be prepared to adapt to changing priorities, work in fast-paced settings, and embrace innovative solutions.
  2. Shift from Process to Results: While federal roles emphasize rigorous process adherence, private sector employers often focus on outcomes. When communicating your experience, emphasize how your actions have led to positive results or changes rather than just detailing the processes you followed.
  3. Think Entrepreneurially: The private sector rewards initiative and innovation. Cultivating a mindset that seeks efficiencies, identifies new opportunities, and challenges the status quo can be advantageous.

Resume Tips

  1. Transform Your Language: Federal job descriptions can be bureaucratic. Translate this into private sector-friendly terms. For example:
    • Instead of saying "monitored compliance with federal regulations," use "ensured corporate compliance with industry regulations to mitigate risk and enhance business integrity."
  2. Highlight Transferable Skills: Focus on the skills that are applicable to the private sector, such as analytical thinking, project management, and relationship building. Be specific about how you’ve used these skills in your compliance role to drive positive business results.
  3. Use Quantifiable Achievements: Where possible, include metrics or results. For instance, “Reduced compliance errors by 30% through rigorous training programs” gives a clear, quantifiable measure of your impact.
  4. Tailor Your Resume for Each Job: Customize your resume for each application, ensuring that the skills and experiences you highlight resonate with the specific job description. Use keywords from the job listing to ensure alignment with what the hiring employer seeks.

Interview Tips

  1. Practice the STAR Method: Structure your answers using the Situation, Task, Action, and Result framework. This helps you convey your experiences clearly and provides concrete examples of your skills and achievements.
  2. Prepare for Behavioral Questions: Private sector interviews often focus on behavioral questions. Prepare stories that demonstrate your problem-solving skills, ability to work under pressure, and how you collaborate with teams.
  3. Research the Company and Industry: Understand the business’s specific needs and challenges and be ready to discuss how your background and skills applicability can help address them. This demonstrates your preparedness and serious intent for the position.
  4. Be Authentic: Showcase your personality. Employers are looking for cultural fit and someone who can contribute to their team dynamic. Let your passion for your work shine through during the interview.

Networking Strategies

  1. Leverage LinkedIn: Update your LinkedIn profile to reflect your aspirations. Join groups related to your desired field. Engage with content, share insights related to compliance in the private sector, and connect with professionals in your field.
  2. Attend Industry Events: Participate in compliance and finance-related seminars, webinars, or workshops. This not only enhances your knowledge but also expands your professional network.
  3. Informational Interviews: Reach out to individuals in positions you are interested in and request informational interviews. Ask about their career paths and seek advice. This builds connections and can lead to job opportunities.
  4. Alumni Networks: If you attended a university, utilize alumni networks to find individuals in your field. Alumni are often more willing to help fellow graduates and can guide you on transitioning successfully.

Translating Federal Experience into Private Sector Language

  • Focus on Terminology: Use industry-specific jargon. For example, replace "compliance review" with "regulatory assessment" or "risk management strategies."
  • Highlight Collaboration and Teamwork: In the private sector, teamwork is crucial. Highlight how you collaborated with various departments or external stakeholders to achieve compliance objectives.
  • Showcase Continuous Improvement: Emphasize how you sought efficiencies or enhanced processes in your federal role, focusing on how these skills can contribute to a private company’s goals of innovation and improvement.

Final Words of Encouragement

Transitioning to the private sector can seem daunting, but remember that your experience as a federal employee has equipped you with a wealth of knowledge and skills. A compliance background is highly regarded in the private sector, so believe in the value you bring to potential employers.
Take the time to invest in your resume, prepare thoroughly for interviews, and actively network; these will be pivotal steps in your job search journey. With determination and the right strategies, you will successfully secure a fulfilling role in the private sector. Good luck!