Attachment_1_SOW.pdf

Attachment 1

SECHQ114R0015

STATEMENT OF WORK

ADMINISTRATIVE SERVICES SUPPORT

1.0 Background

The U.S. Securities and Exchange Commission (SEC) was established by Congress in 1934 to enforce the Securities Act of 1933 and the Securities Exchange Act of 1934. The SEC consists of five presidential-appointed Commissioners, five Divisions and 26 Offices. It is headquartered in Washington, DC and has 11 regional offices in the following cities: Atlanta, Boston, Denver, Ft. Worth, Chicago, New York, Philadelphia, Los Angeles, Miami, San Francisco and Salt Lake City. The SEC oversees the key participants in the securities world, including securities exchanges, securities brokers and dealers, investment advisors, and mutual funds. The SEC’s overarching mission is to protect investors, maintain fair, orderly, and efficient markets, and to facilitate capital formation.

The SEC requires Administrative Support at various levels throughout the agency in order to satisfy overall operational objectives.

The SEC seeks to consolidate most administrative support under one Blanket Purchase Agreement for the entire agency.

A summary of labor duty categories, job duties and basic qualifications are listed in section 4.0.

2.0 Scope

The U.S. Securities and Exchange Commission (SEC) intends, through this procurement, to consolidate current contractors and resources available to satisfy overall administrative support objectives and provide all SEC Divisions and Offices with an agency wide contract vehicle for Administrative Support requirements.

In accordance with the terms and conditions of the Indefinite Delivery, Indefinite Quantity (IDIQ) contract, the Contractor shall perform the work within this scope of services for the U.S.

Securities and Exchange Commission (SEC), throughout Headquarters and the Regional Offices per Task Orders issued against the IDIQ.

3.0 Objective

The Contractor shall provide and maintain administrative staff in several labor duty categories at the SEC in order to fulfill the Agency administrative support objectives. The contract support required to fulfill the administrative support of the Agency is in three general categories:

Administrative Assistant I; Administrative Assistant II; and Administrative Assistant III. The procurement also calls for a Project Manager to oversee the support provided on the contract.

For qualifications and duties of each labor duty category see Attachment 1.

4.0 Requirements

4.1 Personnel- The Contractor support personnel must have experience in performing administrative duties in an office setting, and must be proficient in using computer equipment and software (e.g., Microsoft Excel and Microsoft Word). Must have excellent verbal, telephone and written communication skills. The support personnel shall be able to work well with Senior Executives, Managers and staff and have experience communicating with the public. The support personnel shall have experience writing standard office correspondence and knowledge of paper and electronic office filing systems. Business attire is required when Contractor Personnel are on-site.

Contractor Personnel shall be capable of providing administrative assistance services as outlined in each individual task order. Contractor Personnel shall possess the experience, knowledge, and skills to successfully perform each requirement.

4.2 Project Management- The Contractor shall establish and maintain project management practices throughout the period of performance. The Contractor shall assign a Project Manager (PM) and provide an Alternate Project Manager contact that will be responsible for all aspects of the contract. The Project Manager and Alternate Project Manager will have direct supervision of all Contractor Personnel and shall be responsible for the performance of the work specified in the labor duty category descriptions in accordance with the terms and conditions of the anticipated contract. The Project Manager will provide guidance/direction to all Contractor Personnel on work requirements. Any work requirements not clearly addressed in the labor duty category descriptions/SOW must be routed through the Project Manager for approval and assignment.

The Project Manager shall attend and participate in meetings with Contractor Personnel and SEC COR, as required, in order to conduct the review of assigned activities, action items, schedule resource expenditures, and joint discussion of any technical and/or administrative problems incurred.

4.3 Key Personnel- The following personnel are considered key personnel by the Government:

Project Manager and Alternate Project Manager. The Contractor shall provide a Project Manager who shall be responsible for the performance of the work. The name of this person and an alternate who shall act for the Contractor when the manager is absent shall be designated in writing to the Contracting Officer. The Project Manager and Alternate Project Manager shall have full authority to act for the Contractor on all contract matters relating to daily operation of this contract. The Project Manager or Alternate Project Manager shall be available between 9:00 a.m. to 5:00 p.m., Monday thru Friday except Federal holidays or when the government facility is closed for administrative reasons.

4.4 Supervision of Contractor Employees– The Contractor shall provide sufficient day-to-day contractor supervision of each employee and each current task order to insure successful performance. Each employee shall be aware of his/her contract Project Manager or on site task manager. At no time shall Contractor Personnel be supervised by any Government employee.

The Contractor is solely responsible for hiring, selecting/non-selecting, upgrading/promoting, work assignment, work related awards or discipline, approving work schedules/absences, labor-management issues, career planning, or compensation for all employees working or who may potentially work under the IDIQ. Any suspected or actual incident of SEC personnel being involved in these processes must be immediately reported to the Contacting Officer.

4.5 Labor Duty Categories- The Contractor shall provide qualified, experienced and skilled employees for each labor duty category listed below for each individual task order issued under this IDIQ. The Contractor shall identify replacement personnel for any vacancies within 5 business days after the vacancies occur, when task request(s) are officially submitted, or provide a written statement to the Contracting Officer and Contracting Officer’s Representative giving the reason(s) for not meeting the placement criteria and stating corrective actions to meet future employee placements in a timely fashion. The required labor categories for this IDIQ are:

• Administrative Assistant I

• Administrative Assistant II

• Administrative Assistant III

• Project Manager

The Government reserves the right to add other labor duty categories to fulfill the requirements of the Statement of Work (SOW).

4.6 Employee Qualifications- The Contractor shall provide qualified, experienced and skilled employees for each individual task order issued under this IDIQ. Individuals will be accepted for assignment to IDIQ tasks based on the required qualifications stated in the IDIQ. In the event that any individual working on a specific task does not conform with the required qualifications with regards to performance, they will be disqualified for work under the respective task and, based on the nature of the disqualification, other work under the IDIQ. The Contractor has the responsibility to notify their employees of the qualifications for the particular task to which they are assigned.

4.6.1 Employee Skill Level- The Contractor shall provide personnel assigned to a task under this IDIQ who are fully competent to perform assigned skills. Contractor Personnel will not be instructed on-the-job or in classes at Government expense in basic or generic skills/techniques required under this IDIQ.

4.6.2 Work Site Access- The Contractor shall, in advance of employees reporting to the work site, furnish to the COR, a summary resume for each position to be filled or replaced on the respective task indicating the proposed employees’ education/training, experience, skill levels, affiliations and other characteristics that relate to requirements/qualifications of the work to be done on the task order. The Contractor shall provide any and all factual data (dates, certification, etc.) to the COR with submission of each employee’s resume. Any qualification information questioned or requiring verification will be identified to the Contractor for action and be resubmitted. Concurrence of the COR is required for employees to work during verification or revision of their qualification resume.

4.6.3 Removal of Contractor Personnel- The Government may withdraw a previously issued approval or assignment of Contractor Personnel to this IDIQ and direct that the individual be removed from the IDIQ based upon the individual not meeting Government expectations or requirements for professional or performance standards.

4.6.4 Changes to Staffing Levels- The Government may at any time direct the Contractor to either increase or decrease the numbers of assigned Contractor employees in any particular contract labor category, or assigned to the IDIQ as a whole. Funding availability, changes in workload levels, or changes in workload technical requirements may cause such changes. The Contractor shall confer with the Contracting Officer’s Representative before filling vacant positions.

4.6.5 Use of Federal Employees- The Contractor shall not employ any person who is an employee of the United States Government if the employment of that person would create a conflict of interest.

4.6.6 Travel- Travel may be required of the Contractor for this task. Any and all travel shall be coordinated and approved by the Contracting Officer’s Representative and performed in accordance with Federal Travel Regulations (FTR). Itineraries and estimated costs are required and shall be submitted to the COR for approval prior to travel.

5.0 Deliverables or Delivery Schedule

The Contractor shall keep the Contracting Officer’s Representative (COR) informed of task status and progress by regular correspondence or meetings.

The Contractor shall submit a monthly report of all the work performed to the Contracting Officer’s Representative (COR) no later than the 5th working day of the month following the month being reported. The report shall detail Contractor activities during the reporting month and plans for the following month. The report shall include a summary of work performed and deliverables completed, current or projected problems and issues and their resolution, an explanation of deviations from the last month’s projections, and any recommendations related to the effort. The report shall also contain a listing of any travel and copies of all expense reports, if applicable. The report shall include a detailed financial section, containing items such as invoice status, expenditures to date, and contract burn rates broken down by positions.

On-site Contractors shall complete work assignments and tasks on time; ensure work products are thorough and accurate; and work and interact professionally and effectively with all levels of management and staff in completing assignments. Unprofessional behavior will not be tolerated and will be grounds for immediate removal at the Contractor’s expense.

The general quality measures as set forth below will be applied to each deliverable received from the Contractor under this effort. Any perceived conflict between these quality measures by the Contractor should be immediately reported to the COR.

• Accuracy- Deliverables shall be accurate in presentation, technical, content, and adherence to accepted elements of style.

• Clarity- Deliverables shall be clear and concise. All documents shall be easy to understand and be relevant to the supporting narrative.

• Timeliness- Deliverables shall be submitted in a timely fashion as required.

• Physical Requirements- The physical requirements of all positions include fairly frequent standing, walking, bending, lifting and carrying moderately heavy items such as boxes.

If for any reason a deliverable cannot be met within the scheduled time frame or adherence to the established schedules cannot be met, the Contractor is required to explain why, in writing, to the COR and include a firm commitment of when the work shall be completed. This notice to the COR shall specify the following:

• Reasons for the delay

• Modified delivery date

• Impact on the overall project

• A revised project plan with all adjusted dates

The COR will then review the facts and issue a response in accordance with applicable regulations.

6.0 Government-Contractor Relationship

6.1 Non-personal Services- The services to be delivered under this Contract by the Contractor to the SEC are non-personal services and no employer-employee relationships exists or will exist under the Contract between the SEC and the Contractor and/or between the SEC and Contractor’s Personnel.

6.2 Functions Closely Associated with Inherently Governmental Functions- The services to be delivered under this Contract by the Contractor to the SEC are not considered inherently governmental functions. The SEC will not assign inherently governmental functions to the Contractor or Contractor Personnel. The Contractor will ensure Contractor Personnel do not perform inherently governmental functions. Inherently governmental functions are defined at Federal Acquisition Regulation Subpart 7.5 and Office of Federal Procurement Policy (OFPP) Policy Letter 11-01 and its appendices A through D. These references may be viewed at the following websites:

FAR 7.5 link https://www.acquisition.gov/far/current/html/Subpart%207_5.html#wp1078196 OFPP link http://www.whitehouse.gov/omb/procurement_index_work_performance/

6.3 Contractor Personnel are Not Government Employees- Contractor Personnel under this Contract shall not: (1) be placed in a position where they are under the supervision, direction, or evaluation of a Federal employee; (2) be placed in a staff or policy making position; (3) be placed in a position of supervision, administration, or control over Federal employees, personnel of other Contractors, or become a part of the SEC organization; (4) be used for the purpose of avoiding manpower ceilings or other personnel rules and regulations of the Civil Service Commission; and (5) be used in administration or supervision of procurement activities.

6.4 Contractor Personnel Shall Not Exercise Personal Judgment and Discretion on Behalf of the SEC- The services to be performed under this Contract do not require the Contractor or Contractor Personnel to exercise personal judgment and discretion on behalf of the SEC.

Contractor Personnel will act and exercise personal judgment and discretion on behalf of the Contractor. Rules, regulations, directions, and requirements which are issued by SEC authorities under their responsibility for good order, administration, and security are applicable to all personnel who enter the federal facility or who travel on Government transportation. This is not to be construed or interpreted to establish any degree of SEC control which is inconsistent with a non-personal services contract.

6.5 The Contractor is Responsible for Providing Personnel to Perform the Contract and Tasks Required- The Contractor is responsible for providing trained, experienced, and otherwise qualified Personnel to perform the work ordered under this contract. The Contractor’s responsibilities include recruiting job candidates, assessing their qualifications, checking their references, and selecting the Personnel they believe is best qualified. Contractor Personnel are employees of the Contractor and are not employees of the SEC. Contractor Personnel must possess the skill, knowledge, and training to satisfactorily perform the services required by this Contract. The Contractor shall provide fully trained, experienced and appropriately qualified Personnel. SEC employees will not engage in interviewing or selecting Contractor Personnel.

6.6 The Contractor Shall Supervise Its Personnel- This is a non-personal services requirement.

Contractor Personnel do not report to SEC employees. Only Contractor Management can supervise Contractor Personnel, stipulate Contractor Personnel duty hours to be in compliance with the Contract, maintain Contractor Personnel records, develop and publish duty rosters including the names of Contractor Personnel, and approve the following for Contractor Personnel: hiring, overtime, travel, termination of employment, leave, time off, performance evaluation, promotions, pay increases, letters of references, and bonuses.

7.0 Government-Furnished Equipment and Government-Furnished Information

The Government shall provide a workspace for on-site personnel and the equipment and supplies necessary to perform the on-site portion of Contractor services required under this task order, unless specifically excluded.

8.0 Security Requirements

The Contractor shall comply with Securities and Exchange Commission (SEC) administrative, physical and personnel security controls to ensure that the Federal Government’s security requirements are met. During the course of this task, the Contractor shall not use, disclose, or reproduce data, which bears a restrictive legend, other than as required in the performance of this contract. The Contractor and its personnel shall be required to sign a non-disclosure agreement prior to working on this IDIQ.

Contractors hired for work within the United States or its territories and possessions, and who require access to Government owned or controlled facilities, information systems, security items or products and/or sensitive but unclassified information shall either be a U.S. Citizen or have a lawful permanent resident status.

The positions identified within this SOW are considered Government Trusted positions. All Contractor staff must be able to pass full Background Investigation (BI) clearances prior to starting work at the SEC. This process can take several weeks and sometimes months to complete. A Contractor staff member can start with an interim BI, but will have limited access to resources and applications. It is the Contractor’s responsibility to ensure that all new and vacant positions are filled within the required timelines set forth in the SOW.

8.1 Clearance Requirements- All personnel employed by the Contractor or responsible to the Contractor for the performance of work under this contract shall either currently possess or be able to favorably pass a full field five-year employment background investigation. The Contractor shall submit within ten (10) working days after award of this contract a list containing the full name, social security number, and date of birth of those people who claim to have successfully passed a background investigation by SEC, or submit such information and documentation as may be required by the SEC to have a background investigation performed for all personnel. The information must be correct and reviewed by a SEC Personnel Security Official for completeness.

The Contractor shall notify the COR, CO, the OIT Information Security Officer, Information Security Office via phone, FAX, or electronic transmission, no later than one work day after any personnel changes or access requirements occur. Written confirmation is required for phone notification. This includes, but is not limited to, name changes, resignations, terminations, and reassignments to another contract. The Contractor shall provide the following information to OIT IS Office:

Full Name Social Security Number Effective Date Reason for Change

8.2 Required Security Forms- Normally, such documentation will consist of SF-85P, “Questionnaire for Public Trust Positions” or SF-86, “Questionnaire for Sensitive Positions (For National Security)” TDF 67-32.5, SEC Authorization for Release of Information”; FD-258, “Fingerprint Chart”; and a Financial Statement. The forms are obtained from the SEC by contacting the COR for the contract. Failure of any Contractor personnel to pass a background investigation shall be cause for the candidate’s dismissal from the project and replacement by a similar and equally qualified candidate by the Contractor after conferring with the COR. This policy also applies to any personnel hired as replacements during the term of the Task Order.

8.3 Search and Seizure- Contractor Personnel or any representative of the Contractor entering SEC facilities shall abide by all regulations when present. Contractor Personnel and property shall be subject to search and seizure upon entering the confines of the facility, while within the facility, and upon leaving the confines of the facility.

8.4 Site Security- The Contractor is responsible for the safeguarding and protection of all materials and equipment under Contractor control to include Government Furnished Property.

The Contractor shall report any damage, vandalism, or theft of Government Furnished Property immediately to the COR or Alternate COR and SEC security personnel.

8.5 Access, General Protection, and Security Policy and Procedures- Contractor Personnel, and all associated subcontractor Personnel, shall comply with applicable SEC facility access and local security policies and procedures. The Contractor shall also provide all information required for background checks to meet SEC access requirements. Contractor workforce must comply with all personal identity verification requirements as directed by SEC policy. Each Contractor candidate must clear the Contractor Personnel Security Process with a favorable outcome before beginning work under the Contract.

8.6 Identification Badges- Contractor employees shall be required to wear SEC identification badges at all times when working in SEC facilities. All Contractor Personnel will clearly represent that they are Contractor staff in all correspondence, including emails, phone conversations, and voicemail greetings.

8.7 Conduct of Contractor Personnel- A reasonable standard of conduct shall be expected of Contractor Personnel by the SEC. The Contracting Officer may require the Contractor to remove from the job site any Contractor Personnel working under this Contract for reason of misconduct, security, or found to be or suspected to be under the influence of alcohol, drugs, or other incapacitating agent. Contractor Personnel shall be subject to immediate dismissal from the premises upon determination by the SEC that such action is necessary in the interest of the Government. Any such removal from the job site or dismissal from the premises may not relieve the Contractor of the requirement to provide sufficient Personnel to perform the services required in the task order(s).

8.8 Removal of Contractor Personnel- The SEC reserves the right to require the Contractor to remove from this Contract any Contractor Personnel who are deemed incompetent, careless, unsuitable or otherwise objectionable, whose work product is not of the quality required under the Contract, or whose continued use under the Contract is deemed contrary to the best interests of the SEC. The Contractor shall remove any Personnel from performance of Contract tasks when the COR notifies that the Contractor Personnel's performance is unsatisfactory, with removal to be scheduled at a time that is at the COR’s discretion.

9.0 Indefinite Delivery, Indefinite Quantity (IDIQ) Estimated Amounts and Period of Performance

9.1 Estimated IDIQ Amounts- SEC estimates, but does not guarantee, the volume of task orders through this agreement may be $6 Million per year. SEC is obligated only to the extent of authorized task orders actually executed under the IDIQ issued pursuant to this Statement of Work. The SEC reserves the right to make none, 1, or more awards.

9.2 Period of Performance- The anticipated period of performance under this Multiple Award Blanket Purchase Agreement will be five (5) years from date of award.

9.3 Recognized Holidays-

New Year’s Day Labor Day Martin Luther King Jr.’s Birthday Columbus Day President’s Day Veteran’s Day Memorial Day Thanksgiving Day Independence Day Christmas Day

10.0 Hours of Operation

The Contractor shall be responsible for conducting business during core business hours, between the hours of 9:00 a.m. and 5:00 p.m. Monday through Friday except Federal holidays or when the Government facility is closed due to local or national emergencies, administrative closings, or similar Government directed facility closings. Contractors’ working hours shall coincide with the SEC official business hours, unless otherwise approved by the COR. For other than firm fixed price contracts, the Contractor will not be reimbursed when the Government facility is closed for the above reasons.

11.0 Place of Performance

Place of performance for Securities and Exchange Commission (SEC) Headquarters and their Regional Offices are listed below.

SEC Headquarters 100 F Street, NE Washington, DC 20549

Atlanta Regional Office 950 East Paces Ferry, N.E.

Suite 900 Atlanta, GA 30326-1382

Boston Regional Office 33 Arch Street, 23rd Floor Boston, MA 02110-1424

Chicago Regional Office 175 W. Jackson Boulevard Suite 900 Chicago, IL 60604

Denver Regional Office Byron G. Rogers Federal Building, 1961 Stout St., Suite 1700 Denver, CO 80294-1961

Fort Worth Regional Office Burnett Plaza, Suite 1900 801 Cherry Street, Unit 18 Fort Worth, TX 76102

Los Angeles Regional Office 5670 Wilshire Boulevard, 11th Floor Los Angeles, CA 90036-3648

Miami Regional Office 801 Brickell Ave, Suite 1800 Miami, FL 33131

New York Regional Office 3 World Financial Center, Suite 400 New York, NY 10281-1022

Philadelphia Regional Office the Mellon Independence Center 701 Market Street Philadelphia, PA 19106-1532

Salt Lake Regional Office 15 W. South Temple Street Suite 1800 Salt Lake City, UT 84101

San Francisco Regional Office 44 Montgomery Street, Suite 2800 San Francisco, CA 94104

Work will be performed 40 hours per week Monday through Friday, excluding Federal holidays.

The Government reserves the right to verify the hours worked by Contract employees by whatever means is deemed necessary. Verification of hours may be conducted by the COR, Alternate COR, or Contracting Officer. Teleworking by Contractor Personnel may be permitted, as the SEC’s requirements allow, and must be approved by the task order COR in advance.

11.1 Overtime requested by the Contractor- In the event the Contractor deems overtime necessary to meet work requirements, the Contractor shall submit a written request to the COR for the approval. The request shall identify in detail what service requires overtime, how many work-hours are required, and for what SEC Office or Division the work is being performed. The

COR shall approve all requests by the Contractor for overtime in writing before any overtime is allowed. Only hours worked may be billed.

12.0 Phase In/Phase Out Period

To minimize any decreases in productivity and to prevent possible negative impacts on additional services, the Contractor shall have personnel on board during the 30 day phase in/phase out periods. During the phase in period, the Contractor shall become familiar with performance requirements in order to commence full performance of services on the IDIQ start date.

ATTACHMENT 1

LABOR DUTY CATEGORIES

QUALIFICATIONS/DUTIES/KNOWLEDGE

PROJECT MANAGER

Qualifications:

• 5+ years of Project Management and/or leadership experience

• BA/BS Degree

• Experience with brokerage/securities preferred

• Advanced experience with MS Office Suite software (Excel, PowerPoint, Word) and devices (e.g., Blackberry)

• Excellent functional communication (written & verbal) and interpersonal skills

• Customer service skills

• Strong leadership skills

• Team player who can also work independently

• Ability to be flexible and adaptable who can thrive in a fast paced environment

• Superior listening and comprehension skills

Duties

• Organizes, directs and coordinates the planning and production of all Contractor Personnel (CP) activities associated with assigned projects

• Develops/oversees the development of all project reports on the work of the CP

• Responsible for ensuring the SEC COR and management within the SEC are aware of overall program status, including all relevant projects

• Responsible for managing CP’s contract operations, ensure quality standards and work performance on all task orders and projects

• Oversees CPs work efforts, assigns CP resources, manages CP personnel, provides risk management, ensures quality management, and monitors overall project and contract performance

• Provides technical guidance to CP in performance of the work, and reviews the quality of all work products

• Responsible for staffing, project planning, project financials, and staff direction and oversight

ADMINISTRATIVE ASSISTANT I

• 1-2 years of Administrative Assistant experience

• Experience with brokerage/securities firms a plus

• HS diploma required. 1-2 years of vocation/technical training or an Associate’s Degree a plus

• Basic experience with Microsoft Office Suite software (Excel, PowerPoint, Word) and devices (e.g., Blackberry). Previous telephone, scheduling and travel management experience preferred

• Functional communication (written & verbal) and interpersonal skills a must

• Customer service skills

• Good listening and comprehension skills

Duties: (all functions are carried out based solely on data or other information provided by SEC personnel through, as applicable, the Program Manager. Contractor personnel shall not provide independent substantive content of any deliverable. See section 6.5)

• Performs routine clerical, reception, administrative and secretarial duties for the Division or Office requiring minimal tasking by SEC personnel and no exercise of discretion except as directed by SEC personnel or policies and where such duties and tasks are specifically set forth in controlling tasking documents routed through the PM.

• From information provided by SEC personnel, uses computer and software applications to accurately type and edit basic correspondence; enter data; retrieve data; search databases; conduct research; create documents; and send emails.

• From information provided by SEC personnel, processes, routes and files correspondence, documents, and tips, complaints, and inquiries by the public

• From information provided by SEC personnel, completes SEC forms including time and attendance forms, visitor access requests, desktop publication requests, facilities requests, or office supplies and maintenance needs requests.

• Answers and routes telephone calls: appropriately greets caller, records accurate messages, and documents questions or needed follow-up and communicates this to SEC personnel.

• Assists the public and/or employees at front reception counter: appropriately greets visitors; answers routine questions; locates documents and files.

• From information provided by SEC personnel, arranges video conference meetings and technology set up, and arranges appropriate SEC IT support for teleconferences and video teleconferencing.

• Processes, sorts, and delivers incoming and outgoing mail.

• Prints, copies, faxes, scans, assembles, distributes and files documents and maintains files.

• From information provided by SEC personnel, schedules appointments and maintains monthly calendar; schedules meetings and meeting rooms.

• From information provided by SEC employees, prepare agendas for meetings and prepare meeting schedules; attends meetings to record meeting minutes.

• Maintains and organizes supplies; maintains and stocks office and equipment, as approved by SEC personnel.

• Interacts with other Offices and Divisions and outside organizations to obtain and provide information tasked to the CP either by the PM or by an SEC employee.

• From information provided by SEC personnel, prepares communications and arranges for dissemination of agendas.

• Reviews and proofreads work products to ensure highest level of quality.

ADMINISTRATIVE ASSISTANT II

• 3-4 years of Administrative Assistant experience

• Experience with brokerage/securities firms preferred

• HS diploma required w/1-2 years of vocation training or an Associate’s Degree preferred

• Intermediate experience with MS Office Suite software (Excel, PowerPoint, Word) and devices (e.g., Blackberry), previous telephone, scheduling and travel management experience

• Intermediate communication (written & verbal) and interpersonal skills

• Customer service skills

• Intermediate listening and comprehension skills

AA II Duties (all functions are carried out based solely on data or other information provided by SEC personnel through, as applicable, the Program Manager. Contractor Personnel shall not provide independent substantive content of any deliverable. See section 6.5)

• Performs all essential functions of the Administrative Assistant I

• Under the direction of SEC employees as to content, or using syllabuses prepared or approved by the SEC, assists with the update of office forms and procedures, but has no decision making power as to content of these forms and procedures except when such content is subject to review and approval by SEC personnel.

• Tracks and updates office filing system(s).

• From information provided by SEC personnel, and with SEC staff reviewing all work before publication, updates Division/Office’s administrative portion of EnforceNet, sec.gov website, group or office SharePoint site or other SEC web application.

• With Project Manager supervision, types letters, reports, newsletters and other documents from information provided by SEC personnel and with SEC personnel reviewing all such work before its distribution.

• Tracks and updates office level spreadsheets with information and data provided by SEC personnel.

• Creates PowerPoint and other presentation materials with information and data provided by SEC personnel.

• Prepare meeting agendas and supporting materials with information and data provided by SEC personnel.

• Takes minutes at meetings.

ADMINISTRATIVE ASSISTANT III

• 5+ years of Administrative Assistant experience

• Experience with brokerage/securities firms preferred

• HS diploma required. 1-2 years of vocation/technical training or a BA/BS Degree preferred

• Advanced experience with MS Office Suite software (Excel, PowerPoint, Word) and devices (e.g., Blackberry)

• Solid telephone, scheduling and travel management experience

• Advanced communication (written & verbal) and interpersonal skills

• Customer service skills

• Superior listening and comprehension skills

Administrative Assistant III Duties – (all duties are carried out based solely on data or other information provided by SEC personnel through, as applicable, the Program Manager.

Contractor Personnel shall not provide independent substantive content of any deliverable. See section 6.5)

• Performs all essential duties of the Administrative Assistant II.

• From information provided by SEC personnel and with SEC staff oversight, performs highly complex clerical, administrative and secretarial duties to assist senior managers and professional members of Division or Office that involve confidential or sensitive issues and information, such as tracking and disseminating internal reports and data, filing such reports, providing initial drafts of correspondence and memoranda, proofreading drafts provided by SEC staff, and gathering information from the public and senior staff for action by SEC personnel.

• Conducts research and forwards information to appropriate SEC personnel in the relevant specialty area for informational purposes and action. From information provided by SEC personnel and with SEC staff oversight, types and formats correspondence, reports, memoranda and other materials requiring accuracy and completeness.