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Accounting/Fund Administration, Due Diligence, Compliance and/or Legal, Risk Management
4 Year Degree
The Office of Compliance Inspections and Examinations ("OCIE") protects investors through administering the SEC's nationwide examination and inspection program.
The Securities Compliance Examiner position is within the National Examination Program (NEP) in the San Francisco Regional Office (SFRO) located in San Francisco, CA. and is open to all US citizens.
OCIE's mission is to protect investors, ensure market integrity and support responsible capital formation through risk-focused strategies that: (1) improve compliance; (2) prevent fraud; (3) monitor risk; and (4) inform policy. The examination program plays a critical role in encouraging compliance within the securities industry, which in turn also helps to protect investors and the securities markets generally. If selected, you will join OCIE's National Examination Program, working as a member of a team or under the tutelage of higher-graded employees in conducting examinations of registered entities, with an emphasis on investment company and investment adviser exams.
Typical Duties Include:
Providing technical assistance and support for one or more of the National Examination Program areas of emphasis such as self-regulatory organizations, broker-dealers, transfer agents, municipal advisers, municipal and government securities dealers, investment companies, investment advisers and clearing agencies -both clearing corporations and securities depositories- which are registered under the Securities Exchange Act of 1934;
Working as a member of a team or under the tutelage of higher-graded employees, provides securities compliance examination support for actions being undertaken by the SEC; and
In a developmental capacity providing support for one or more of National Examination Program's examination, investigation and enforcement activities and operations such as reviewing financial statements, evaluating financial accounting systems, coordinating examinations with stock exchanges, reconstructing records, examining and analyzing "street intelligence," analyzing cash-management systems, reviewing investigatory complaints, investigating new financial products, examining specialized securities such as junk bonds, interviewing principals of registrants, analyzing performance calculations, analyzing risk, developing surveillance initiatives.
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-11: Applicant must possess at least one year of specialized experience equivalent to at least the GS/SK-09 level in at least two of the following areas: (1) Assisting with the audits, examinations, investigations, or internal compliance reviews of securities-related financial institutions such as investment advisers, investment companies, broker-dealers, clearing agencies, or transfer agents; (2) Assisting with the review of procedures, practices, and records related to the issuance, distribution, and trading of securities; (3) Performing investment analysis, and/or management of securities; (4) Assisting in the adoption, implementation, or testing of internal controls or internal risk management programs (such as cybersecurity risk management) of financial organizations; (5) Engaging in securities trading, portfolio management, or investment management; or 6) Engaging in back office support functions such as settlements, clearances, record maintenance, accounting, and IT services for securities-related financial institutions.
Applicant must possess a Ph.D. or equivalent doctoral degree; LL.M., or 3 full years of progressively higher level graduate education leading to such a degree; if related to business administration, finance, or accounting.
Applicant must possess a combination of education and experience which includes education exceeding two years of graduate study in business administration, finance or accounting and at least six (6) months of specialized experience equivalent to GS/SK-09 level: (1) Conducting the activities described in answer choice A above. SK-12: Applicant must possess 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 audits, examinations, investigations, or internal compliance reviews of securities-related financial institutions, such as investment advisers, investment companies, broker-dealers, clearing agencies, or transfer agents; (2) Assisting with the review of procedures, practices, and records related to the issuance, distribution, and trading of securities; (3) Performing investment analysis, and/or management of securities; (4) Assisting in the adoption, implementation, or testing of internal controls or internal risk management programs (such as cybersecurity risk management) of financial organizations; (5) Engaging in securities trading, portfolio management, or investment management; or (6) Engaging in back office support functions such as settlements, clearances, record maintenance, accounting, and IT services for securities-related financial institutions;
Preparing reports, memoranda, or other documents based on the activities described in choice 1 above;
Identifying and analyzing compliance issues, such as issues with disclosure, record keeping, financial reporting, or prohibited activities;
Interpreting and applying the provisions of the Investment Advisers Act and/or the Investment Company Act and any related rules and regulations;
Performing and facilitating interviews to gather operational data and information from employees and management;
Analyzing data gathered through any of the processes listed above.
ARE YOU USING YOUR EDUCATION TO QUALIFY? You MUST provide transcripts or other documentation to support your educational claims. Unless otherwise stated: (1) official or unofficial transcripts are acceptable, or (2) you may submit a list with all of your courses, grades, semester, year, and credit for the course. All materials must be submitted by the closing date of the announcement. PASS/FAIL COURSES: If more than 10 percent of your undergraduate course work (credit hours) were taken on a pass/fail basis, your claim of superior academic achievement must be based upon class standing or membership in an honor society.
Internal Number: 20-ES-10746055-DMQ
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.