Securities Compliance Examiner Securities Compliance Examiner …

U.S. Securities and Exchange Commission
in New York, NY
Permanent, Full time
Last application, 22 Sep 20
$98,030 to $195,551
U.S. Securities and Exchange Commission
in New York, NY
Permanent, Full time
Last application, 22 Sep 20
$98,030 to $195,551
The Office of Compliance Inspections and Examinations ("OCIE") administers the SEC's nationwide examination and inspection program for registered investment advisers, investment companies, broker-dealers, transfer agents, clearing agencies, self-regulatory organizations, and other entities registered with the SEC. The Securities Compliance Examiner position is within the National Examination Program in the New York Regional Office located in New York, NY and is open to all US citizens.

If selected, you will join a well-respected team of the National Examination Program in the New York Regional Office that is responsible for the examination of registered investment companies, investment advisers, broker-dealers, transfer agents, and municipal advisors.

Typical duties include:

  • Working as a member of a team of examiners with various levels of experience and professional backgrounds to conduct examinations of securities-related financial institutions registered with the SEC such as investment companies, investment advisers, broker-dealers, transfer agents, and municipal advisors.
  • Evaluating possible risks-to investors and the financial markets-of registered securities-related financial institutions' business models and practices based on review and analysis-through modern quantitative techniques when possible-of information reported by the institutions to the SEC and other internal and external data sources.
  • Executing risk-based examination plans, which frequently involves: (i) analyzing a financial institution's operations and procedures, sales practices, supervisory systems, books and records, and financial statements, (ii) reviewing investigatory complaints, (iii) investigating new financial products, (iv) examining specialized securities, (v) interviewing principals of registrants, and/or (vi) analyzing performance calculations to assess the level of compliance with federal securities laws and/or self-regulatory requirements.
  • Developing recommendations and reports, presenting and defending findings, and collaborating as required with legal staff.

Requirements

Conditions of Employment

  • You must be a US Citizen.
  • Application procedures are specific to this vacancy announcement. Please read all the instructions carefully. Failure to follow the instructions may result in you not being considered for this position.
  • Supplementary vacancies may be filled in addition to the number stated in this announcement.
  • This position has promotion potential to the SK-14 level.
  • PROBATIONARY PERIOD: This appointment may require completion of a one-year probationary period.
  • SECURITY CLEARANCE: Entrance on duty is contingent upon completion of a pre-employment security investigation. Favorable results on a Background Investigation may be a condition of employment or selection to another position.
  • DRUG TESTING: This position may be subjected to drug testing requirements.
  • PERMANENT CHANGE OF STATION (PCS): Moving/Relocation expenses are not authorized.
  • DIRECT DEPOSIT: All Federal employees are required to have Federal salary payments made by direct deposit to a financial institution of their choosing.
  • This position is in the collective bargaining unit.

Qualifications

All qualification requirements must be met by the closing date of this announcement.

Qualifying experience may be obtained in the private or public sector. Experience refers to paid and unpaid experience, including volunteer work done through National Service programs (e.g., Peace Corps, AmeriCorps) and other organizations (e.g., professional; philanthropic; religious; spiritual; community, student, social). Volunteer work helps build critical competencies, knowledge, and skills and can provide valuable training and experience that translates directly to paid employment. You will receive credit for all qualifying experience, including volunteer experience.

MINIMUM QUALIFICATION REQUIREMENT:

SK-12: Applicant must have at least one year of specialized experience equivalent to at least the GS/SK-11 level, performing at least two of the following functions:

  1. Participating in examinations, investigations, audits or internal compliance reviews of securities-related financial institutions such as investment advisers, investment companies, broker-dealers, clearing agencies, or transfer agents;
  2. Assisting in the adoption, implementation, or testing of internal controls or internal risk management programs (such as operational or enterprise risk management);
  3. Analyzing financial, operational, or securities industry data;
  4. Assisting with the review of procedures, practices, and records related to the issuance, distribution, and trading of securities;
  5. Engaging in securities trading, portfolio management, or investment management or performing investment analysis or management of securities; or
  6. Interpreting and applying the provisions of the Investment Advisers Act and/or the Investment Company Act, Securities Act of 1933, Securities Exchange Act of 1934 and any related rules and regulations and/or other federal securities rules.


SK-13: Applicant must have at least one year of specialized experience equivalent to at least the GS/SK-12 level, performing at least three of the following functions:

  1. Performing examinations, investigations, audits or internal compliance reviews of securities-related financial institutions such as investment advisers, investment companies, broker-dealers, clearing agencies, or transfer agents;
  2. Developing and implementing tests of internal controls or internal risk management programs (such as enterprise or operational risk management);
  3. Analyzing financial, operational, or securities industry data using a relational database management system (e.g. SQL, Oracle) or through advanced skills with spreadsheets such as Microsoft Excel;
  4. Performing reviews of procedures, practices, and records related to the issuance, distribution, and trading of securities;
  5. Engaging in securities trading, portfolio management, or investment management or performing investment analysis, and/or management of securities; or
  6. Interpreting and applying the provisions of the Investment Advisers Act and/or the Investment Company Act, Securities Act of 1933, Securities Exchange Act of 1934 and any related rules and regulations and/or other federal securities rules.

Education

This job does not have an education qualification requirement.

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