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Securities Compliance Examiner

U.S. Securities & Exchange Commission (SEC)
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Salary: $94,807 to $195,551

The Office of Securities Based Swaps within the Division of Examinations is filling two positions for a Securities Compliance Examiner, SK-1831-12 & 13, in one of the following locations: Chicago, IL or New York, NY or Washington, DC.
Responsibilities
Join a well-respected team in the Division of Examinations that is responsible for the examination of registered investment companies, investment advisers, broker-dealers, self-regulatory organizations, transfer agents, and municipal advisors.
Typical Duties:
  • 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, self-regulatory organizations, 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; and
  • Developing recommendations and reports, presenting and defending findings, and collaborating as required with legal staff.
  • Due to COVID-19, the SEC is currently in a mandatory telework posture through June 25, 2020. If selected, you will be permitted to temporarily telework from a location outside the local commuting area while the SEC remains in a mandatory telework posture. Once employees are permitted to return to the office, you will be expected to report to the duty station listed on this announcement within 60 days. At that time, you will be eligible to request telework in accordance with the SEC's telework policy.
Travel Required
Occasional travel - Travel averages one week or 5 days a month.
 
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.
  • 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.
  • Typical Examiner Travel: Examination staff routinely travel to the offices of registered entities to conduct on-site inspections of facilities, to meet with and interview entity personnel, and to examine certain business records.
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. Qualifying education must have been obtained from an accredited college or university recognized by the U.S. Department of Education.
MINIMUM QUALIFICATION REQUIREMENT:
SK-12: Applicant must have at least one year of specialized experience equivalent to the GS/SK-11 level, performing at least two of the following functions:
  1. Participating in examinations, investigations, audits, or internal compliance reviews that included significant assessment of valuation, trading, documentation, or clearance of swaps or security-based swaps ("SBS");
  2. Assisting in the adoption, implementation, review or testing of policies and procedures, internal controls, or internal risk management programs designed to manage the market, credit, operational, compliance, or legal risks related to swaps or SBS;
  3. Assisting in the analysis of financial, operational, or securities industry data, or the preparation or filing of regulatory reports related to swaps or SBS; or
  4. Participating in the issuance or trading, portfolio management, or investment advice/analysis/management of swaps, or SBS.
SK-13: Applicant must have at least one year of specialized experience equivalent to the GS/SK-12 level, performing at least two of the following functions:
  1. Performing examinations, investigations, audits, or internal compliance reviews of reviews that included significant assessment of valuation, trading, documentation, or clearance of swaps or SBS;
  2. Developing or implementing assessments of internal controls, or internal risk management programs (such as enterprise or operational risk management) designed to manage the market, credit, operational, compliance, or legal risks related to swaps or SBS;
  3. Analyzing financial, operational, or securities industry data, or preparing or filing regulatory reports related to swaps or SBS; or
  4. Engaging in the issuance, trading, portfolio management, or investment advice/analysis/management of swaps or SBS.