The Office of Compliance Inspections and Examinations administers the SEC's nationwide examination and inspection program for registered self-regulatory organizations, NRSROs, broker-dealers, transfer agents, clearing agencies, investment companies, and investment advisers.
This position is in the Event and Emerging Risk Examination Team (EERT) within the Office of Compliance Inspections and Examinations (OCIE). Four selections can be made in New York, NY or Washington, DC.
OCIE's Event and Emerging Risk Examination Team (EERT) is being formed to strategically and proactively engage with financial firms about their preparedness for specific threats and market events. The EERT will also be utilized to quickly mobilize and respond when critical situations materialize.
As a Securities Compliance Examiner (Fellow), you will:
Address exigent threats, incidents, and emerging risks through the conduct of examinations and inspections, firm engagement meetings, and monitoring activities;
Provide technical assistance and support in one or more of the OCIE examining programs with emphasis on registered self-regulatory organizations, investment companies, investment advisers, broker-dealers, transfer agents, and clearing agencies, (collectively "registrants");
Plan and conduct examinations, developing reports of findings, communicating verbally in meetings, drafting detailed findings in reports, and providing advice and recommendations for complex clearing agency examinations;
Provide technical advice and assistance in the areas of registrant operations, evaluating internal control processes, performing complex and difficult assignments supporting the mission of the OCIE's program; and
Analyze the methods used for valuing a portfolio of securities, reconstructing records and process flows, analyzing cash-management systems, investigating new financial products, analyzing performance calculations, and/or analyzing risk
25% or less - You may be expected to travel more than 25%.
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-14: Applicant must have at least one year of specialized experience equivalent to the GS/SK-13 level.
Specialized experience includes the following:
Leading at least one of the following functions:
(1) Performing fraud detection analysis related to securities-related financial institutions such as investment advisers, investment companies, broker-dealers, clearing agencies, or transfer agents;
(2) Engaging in back office financial operations, including net capital requirements, at a broker-dealer;
(3) Performing trade order execution at a broker-dealer;
(4) Engaging in securities operations at a broker-dealer;
(5) Engaging in investment operations or fund administration at an investment adviser or investment company; or
(6) Engaging in cyber and information security functions related to securities-related financial institutions such as investment advisers, investment companies, broker-dealers, clearing agencies, or transfer agents; AND
Developing recommendations and/or reports of findings to resolve issues; AND
Conducting briefings for management and/or representing the organization at briefings, meetings or conferences.
This job does not have an education qualification requirement.
New York, NY: $133,861 - $224,537
Washington, DC: $130,364 - $218,671
Internal Number: 20-EX-10817368-CSS
About U.S. Securities & Exchange Commission
The mission of the U.S. Securities and Exchange Commission is to protect investors; maintain fair, orderly, and efficient markets; and facilitate capital formation. The U.S. Securities and Exchange Commission strives to promote a market environment that is worthy of the public’s trust and characterized by transparency and integrity.
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