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The Robert Toigo Foundation

SECURITIES COMPLIANCE EXAMINER

U.S. Securities and Exchange Commission
Published
October 17, 2022
Location
Washington, District of Columbia
Category
Job Type
Salary
$100,995 - $171,117 per year
City
New York
State
  • New York

Description

Position: Securities Compliance Examiner

Open and Close Dates: 10/17/2022 to 10/28/2022

Location: New York, NY

Salary: $100,995 - $171,117 per year

Job Link: https://www.usajobs.gov/job/683175400

Summary
The Division of Enforcement conducts investigations into possible violations of the federal securities laws, and litigates the Commission's civil enforcement proceedings in the federal courts and in administrative proceedings.

The Securities Compliance Examiner position will serve in an investigating role and is within the Division of Enforcement in the New York Regional Office located in New York, NY.

Conditions of Employment

CITIZENSHIP: This position is open to US Citizens.

Responsibilities

Typical Duties Include:

If selected, you will serve as a securities compliance examiner responsible for conducting investigations involving violations of the Federal Securities laws, in the Division of Enforcement in the New York Regional Office. Typical duties include:

  • Providing advice, analysis and technical support for the Division of Enforcement's investigation and enforcement activities and operations, such as reviewing financial statements, evaluating financial accounting systems, coordinating investigations with other regulators, reconstructing records, gathering and analyzing market information, reviewing business operations of securities-related financial institutions, reviewing investigatory complaints, researching and analyzing novel and unique financial products, interviewing principals of registrants, analyzing performance calculations, researching and applying federal securities laws to the operations of securities-related financial institutions, developing findings and drafting written reports, charts and/or graphs presenting and defending findings, conducting conferences to communicate with the industry, collaborating with the legal staff and providing technical expertise for investigations and litigation of civil matters, administrative proceedings, and criminal prosecutions.
  • Working in an investigations role with senior examiners, lawyers, and accountants engaged in analyzing and documenting violations of the Federal Securities laws. Working with senior examiners, lawyers, and accountants in preparing court documents and/or demonstrative exhibits as part of investigations.
  • Assisting in the on-the-job training for lower-grade investigating examiners, selecting topics to be presented, developing training materials, participating in the presentation of instruction, ensuring that training materials and instruction content reflect the latest trends in the industry and the policies of the SEC, and serving as a mentor.

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 the GS/SK-11 level: Performing at least two of the following functions:

  1. Participating in financial compliance examinations, complex financial 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. Performing analysis of financial, operational, or securities industry data;
  3. Conducts, or participates in, the analysis of the issuance and/or trading of securities;
  4. Researching, interpreting and/or investigating violations of the Investment Advisers Act of 1940, Investment Company Act of 1940, Securities Act of 1933, Securities Exchange Act of 1934, regulations thereunder, and/or any other federal securities laws.

Additional information

SEC COMPENSATION PROGRAM: The overall salary range listed above is provided for informational purposes as it represents the full range that is applicable to current employees in this occupation/grade; however, a selectee's initial pay is always set below the maximum rate of the range.

Additional information and the link to the application can be found here: https://www.usajobs.gov/job/683175400

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