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The Auditor position provides direct support and assistance to higher level investigators and managers and conducts research on policy, program, and case related issues and questions, and gathers and evaluates data relevant to specific cases. Investigator's plan, direct, and administer a program of enforcement to ensure maximum compliance with the Employee Retirement Income Security Act of 1974 (ERISA) and criminal provisions of the U.S. Code as they relate to employee benefit plans.


Duties

Major duties include but are not limited to:

GS-0511-11:
Reviews and analyzes multiple types of documents for legal and evidentiary sufficiency and conformity with national enforcement policy. Records this data in appropriate database.
Researches policy, program issues, and questions that have been raised. Analyzes materials, discerns relationships and interrelationships, and reports findings. Develops and prepares reports or oral briefings to provide information/answers to issues and questions, with assistance by management or senior investigator.
Conducts or participates in conducting investigations/audits. Includes thorough auditing, analysis and gathering of evidence, identification of violations and resolution of issues identified, with assistance by management or senior investigator.
Reviews and provides comments on proposed operating plans. Evaluates case activity on an ongoing basis for consistency with plan and policy. Identifies issues, analyzes problems and develops solutions, with assistance by management or senior investigator.
Conducts research, collects and develops data reports on enforcement program, administrative operations and accomplishments of the office.

GS-0511-12:
Reviews and analyzes multiple types of documents for legal and evidentiary sufficiency and conformity with national enforcement policy. Records this data in appropriate database.
Researches policy, program issues, and questions that have been raised. Analyzes materials, discerns relationships and interrelationships, and reports findings. Develops and prepares reports or oral briefings to provide information/answers to issues and questions.
Conducts or participates in conducting investigations/audits. Includes thorough auditing, analysis and gathering of evidence, identification of violations and resolution of issues identified.
Reviews and provides comments on proposed operating plans. Evaluates case activity on an ongoing basis for consistency with plan and policy. Identifies issues, analyzes problems and develops solutions.
Conducts research, collects and develops data reports on enforcement program, administrative operations and accomplishments of the office.





Requirements






Conditions of Employment

Must be at least 16 years old and a U.S. Citizen.Appointment to this position may require a background investigation.Requires a probationary period if the requirement has not been met.Requires a valid drivers license.Applicants must meet all legal and regulatory requirements. Reference the "Required Documents" section for additional requirements.

Notification Concerning COVID-19 Vaccinations.  As required by Executive Order 14043, Federal executive branch employees are required to be fully vaccinated against COVID-19 regardless of the employee's duty location or work arrangement (e.g., telework, remote work, etc.), subject to such exceptions as required by law. If selected, you will be required to be vaccinated against COVID-19 and to submit documentation of proof of vaccination or to be in the process of requesting an exception to the vaccination requirement before appointment or onboarding with the agency. The agency will provide additional information regarding which forms of documentation can be accepted and how you can request to be considered for a legally required exception from this requirement.  
Currently, implementation and enforcement of Executive Order 14043 has been suspended pursuant to an injunction pending further litigation.





Qualifications

Applicants must meet the Basic Requirement listed below:





Basic Requirements for Auditors

  1. Degree: accounting, auditing; or a degree including auditing courses in a related field such as business administration, finance, or public administration that included or was supplemented by 24 semester hours in accounting. The 24 hours may include up to 6 hours of credit in business law. OR
  2. Combination of education and experience: at least 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 also include one of the following:
  3. Twenty-four semester hours in accounting or auditing courses of appropriate type and quality. This can include up to 6 hours of business law;
  4. A certificate as Certified Public Accountant or a Certified Internal Auditor, obtained through written examination; or
  5. Completion of the requirements for a degree that included substantial course work in accounting or auditing, e.g., 15 semester hours, but that does not fully satisfy the 24-semester-hour requirement of 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 4-year course of study described in paragraph A; and (c) except for literal nonconformance to the requirement of 24 semester hours in accounting, the applicant's education, training, and experience fully meet the specified requirements.

In addition to meeting the basic requirement above, applicants must also have 1 year of specialized experience equivalent to at least the next lower grade level in the Federal Service or meet the education requirement listed below or have an equivalent combination of education and experience. Specialized experience is experience in or directly related to the position to be filled and which has equipped the applicant with the particular knowledge, skills, and abilities to successfully perform the duties of the position.
For the GS-11 level, Applicants must possess 1 year of specialized experience at a level of difficulty and responsibility equivalent to the GS-09 in the Federal Service.
To meet specialized experience, applicants must have at least 1 year of one of the qualifying experiences listed below. Your qualifying experience must be in your resume.
  • Applicants must demonstrate experience in one or more of the following:
  • Conducting general financial audits using recognized audit techniques.
  • Conducting non-financial audits assessing compliance with laws, regulations, or procedural requirements.
  • Supervisory experience in claims processing and claims adjudication for a health insurance company with more than 100 client plans or for a self-insured health care plan with more than 1,000 covered lives.

OR

three (3) years of progressively higher level graduate education leading to a Ph.D. degree or Ph.D. or equivalent doctoral degree; in a related field of study that demonstrated the knowledge, skills, and abilities necessary to do the work;

OR
LL.M., if related.

For the GS-12 level, Applicants must possess 1 year of specialized experience at a level of difficulty and responsibility equivalent to the GS-11 in the Federal Service.
To meet specialized experience, applicants must have at least 1 year of one of the qualifying experiences (ERISA-specific) listed below. Your qualifying experience must be in your resume.
  • Applicants must demonstrate experience in one of more of the following:
  • Conducting audits of financial institutions such as banks, trust companies, financial advisory companies, investment management companies, insurance companies, or other similar entities.
  • Conducting audits, reviews, consulting engagements, or investigations of employee benefit plans to determine compliance with the Employee Retirement Income Security Act (“ERISA”).
  • Supervisory experience in claims processing and claims adjudication for a health insurance company with more than 500 client plans or for a self-insured health care plan with more than 3,000 covered lives.
There is no substitution of education for experience at the GS-12 level.





Education

Any applicant falsely claiming an academic degree from an accredited school will be subject to actions ranging from disqualification from federal employment to removal from federal service.
If your education was completed at a foreign college or university, you must show comparability to education received in accredited educational institutions in the United States and comparability to applicable minimum course work requirements for this position. Click Evaluation of Foreign Education for more information.





Additional information

This job is not 100% telework; employees will be required to report to their office one or more days per week.

Persons who are deaf, hard of hearing, blind, or have speech disabilities, please dial 711 to access telecommunications relay services.
The mission of the Department of Labor (DOL) is to protect the welfare of workers and job seekers, improve working conditions, expand high quality employment opportunities, and assure work-related benefits and rights for all workers. As such, the Department is committed to fostering a workplace and workforce that promote equal employment opportunity, reflect the diversity of the people we seek to serve, and model a culture of respect, equity, inclusion, and accessibility where every employee feels heard, supported, and empowered. 
Position Telework eligibility is determined by management based on position duties during the recruitment process. Employee participation in telework on a routine or situational basis is determined by management primarily based on business needs. Employees participating in telework are subject to the terms and conditions of the Department of Labor’s Telework Program.
This position is inside the Bargaining Unit.
INFORMATION FOR ICTAP/CTAP ELIGIBLE(S) ONLY: If you are eligible for special priority selection under ICTAP/CTAP, you must be well-qualified for the position to receive consideration. ICTAP/CTAP eligible(s) who are placed into Category B or higher will be considered "well-qualified." Be sure to review DOL Account Eligibility Questions #24 to reflect that you are applying as an ICTAP or CTAP eligible and submit supporting documentation. 
Additional Competencies:
Interpersonal Communication and Teamwork: Shows understanding, friendliness, courtesy, tact, empathy, concern, and politeness to others; develops and maintains effective relationships with others; may include effectively dealing with individuals who are difficult, hostile, or distressed; relates well to people from varied backgrounds and different situations; is sensitive to cultural diversity, race, gender, disabilities, and other individual differences.
Technology Application: Uses computers and computer applications to analyze and communicate information in the appropriate format.





How You Will Be Evaluated


You will be evaluated for this job based on how well you meet the qualifications above.
If you meet the minimum qualifications, you will be evaluated against the evaluation factors below and will be placed into a category based on your vacancy question responses.

Categories
Category A - Meets the basic qualification requirements for the vacancy and has successful experience in the same or similar job that has demonstrated superior proficiency in applying critical competencies required by this position to work of increased levels of difficulty and complexity.
Category B - Meets the basic qualification requirements for the vacancy and demonstrates satisfactory proficiency in the critical competencies required by this position.
Category C - Meets the specialized experience described in the minimum qualifications requirements section of this announcement and demonstrates proficiency in the basic competencies.
Evaluation Factors (Competencies) - All qualified applicants will be evaluated on the following key competencies:
Compliance Inspection/Auditing: Knowledge of the guidelines, regulations, and procedures associated with compliance inquiries, including application of compliance rules and criteria and ability to make appropriate decisions and issue citations, fines, or orders.
Employee Benefit Plans: Uses knowledge of employee benefit plan design, operation, and administration in the performance of job duties. Understands laws and regulations governing employee benefit plans and assesses or ensures operational compliance.
Analyze Data/Critical Thinking: Identifies rules, principles, or relationships that explain facts, data, or other information; analyzes information and makes correct inferences or draws accurate conclusions. Identifies and analyzes problems; determines accuracy and relevance of information; uses sound judgment to generate and evaluate alternatives and to make recommendations.
Written and Oral Communication: Creates written work products requiring original composition that may include complex or technical content. Written work products convey information in a clear, well-organized, and succinct manner and are tailored as appropriate to the intended audience. Written work products demonstrate correct grammar, punctuation, and spelling. Able to convey oral information to individuals and groups in a clear and convincing manner, taking into account the audience and the nature of the information; listens to others; attends to non-verbal cues and responds appropriately.
See Additional Information Section for more Competencies.
The information you provide on your resume may be verified by a review of your work experience, employment start/end dates/hours worked and/or education, by checking references and through other means (ex. interview). The examining Office of Human Resources (OHR) makes the final determination concerning applicant ratings. Your resume MUST provide sufficient information to substantiate your responses to the vacancy questions. If not, the OHR may amend your responses to more accurately reflect the level of competency indicated by the content of your resume. Your evaluation may also include a review by a Human Resources Specialist or panel and may include other assessments (ex. interview, panel review, written test, writing sample, etc.)

You may preview questions for this vacancy.





Required Documents


The following documents must be submitted by 11:59 p.m. (ET) on the vacancy closing date. You are not required to submit a document if it does not apply to you. Warning: If you submit a document using the same document title, the 2nd submission will OVERWRITE the 1st submission. Also, do not upload password-protected documents.

- Resumes are required - provide a resume either by creating one in USAJOBS or uploading one from your profile. To receive full consideration for relevant and specialized experience, please list the month, year, and the number of work hours worked for the experience listed on your resume. We also suggest that you preview the vacancy questions, and confirm that your resume supports your question responses. 

- Veterans Documents (if applicable): To be considered as a 5-point preference eligible, you must submit a copy of your Certificate of Release or Discharge From Active Duty, DD214. Your DD-214 must show the type of discharge and dates of active duty. To claim 10-point preference, you must submit a copy of your DD214; an Application for 10-point Veteran's Preference, SF15; and the proof of entitlement of this preference which is normally an official statement, dated 1991 or later, from the Department of Veterans Affairs certifying to the present existence of the service-connected disability and indicating the percentage of your disability. (For active duty service members expecting honorable or general discharge or release within 120 days, click Active Duty). Without this documentation, you will not receive veteran's preference. For more information, go to https://www.fedshirevets.gov.
Displaced Employee Placement Documents – Only required if requesting priority consideration under CTAP or ICTAP eligibility.

Unofficial Transcript(s) (in English) - If you are using education as a basis for qualifying for this position, you must submit all applicable academic transcripts demonstrating that you meet the qualifying educational requirements (ex. BA/BS, MA, JD, Ph.D., etc.). If specific coursework is required to qualify, you must supply an unofficial transcript from each academic institution in which the required courses were taken in order to receive credit. You may upload your unofficial transcript(s) as one document with a maximum size limit of 5 MB.
Effective December 17, 2022, applicants will no longer have the ability to submit supporting documents via FAX. Applicants will continue to submit supporting documents with the more commonly used methods below:
  • Transfer from USAJobs
  • Upload directly from a computer
  • Submit a picture from a mobile device
If you are unable to use any of the methods listed above, please reach out to the HR Specialist shown in the contact information section of the vacancy.
NOTE: The OFFICIAL Transcript(s) MUST BE RECEIVED, if you are selected, and prior to receiving the firm offer with a start date.
Reference the “Education Section” for College Transcript and Evaluation of Foreign Education.
Cover Letters are not mandatory and will not be used to verify experience, but may be submitted.
Applicants selected for employment who are not current DOL employees will be required to provide proof of citizenship, and the E-Verify system will be used to confirm the employment eligibility of all new hires.





How to Apply


To apply for this position, you must complete the initial online application, including submission of the required documentation specified in the "Required Documents" section.
Follow the steps below to apply. Your application and ALL required supplemental documents MUST be received by 11:59 pm Eastern Time (ET) on the vacancy closing date to receive consideration. Paper applications and supplemental documents submitted in any other manner without prior approval from the vacancy contact will not be considered. Click here for information on Reasonable Accommodations.
SAVE your information before the 30 MINUTE TIMEOUT! For help, go to USAJOBS Help Center.

STEP 1 - Create USAJOBS Account on www.usajobs.gov, including Resume and Saved Documents Your resume must provide sufficient information to substantiate your responses to the self-assessment vacancy questions. If not, HR may amend your responses to more accurately reflect the competency indicated by resume content. FOR EACH EMPLOYMENT PERIOD, include: start/end month & year and note full-time or part-time (if part-time, include # of hours worked per week); otherwise, your application may be considered incomplete.

STEP 2 - Complete the 1st part of the application process (USAJOBS) Once you have identified a job on USAJOBS that you wish to apply for, click on the title and click the "Apply"  button. For questions about the vacancy, contact the Agency Contact at the bottom of the announcement. Click “Start Application” and proceed through the 5 steps noted at the top of the USAJOBS page. You will be able to select a resume and documents from your USAJOBS Account that you can submit as a package as part of your DOL application. At Step 5, click “Continue to Agency Site”.

STEP 3 – Complete the 2nd part of the application process (DOL) On the Department of Labor (DOL) page, create a DOL Account if you have not already and click “APPLY TO THIS VACANCY”. Continue through the 7 progress steps indicated by circles at the top of the DOL page. The 3rd progress step is where you answer the vacancy specific questions. The 4th progress step "Documents" is where you submit required documents (only if applicable to you) specified in the "Required Documents" section of this vacancy. If you submit a document using the same document title, the 2nd submission will OVERWRITE the 1st submission.

STEP 4 – On the “Review and Submit” step, click “Submit Application” The last “Confirmation” step will turn green noting that your application was submitted successfully.

STEP 5 - Edit Application as needed by 11:59 pm ET of Closing Date by returning to USAJOBS, clicking the vacancy, then “Update Application”.