Securities Compliance Examiner, SEC
U.S. Securities and Exchange Commission
Location: Los Angeles, CA, San Francisco, CA, Denver, CO, Washington, DC, Atlanta, GA, Chicago, IL, Boston, MA, New York, NY, Philadelphia, PA, Fort Worth, TX
Open and Close Dates: 02/13/2023 to 03/03/2023
Salary: $132,834 - $225,043 per year
Summary
The Division of Enforcement's Asset Management Unit (AMU) is a specialized unit that operates on a nationwide basis with a focus on those in the asset management industry. The unit exercises the full range of the Division's investigative and law enforcement powers, and focuses on violations of the federal securities laws in the asset management industry.
Conditions of Employment
CITIZENSHIP: This position is open to US Citizens.
Typical duties include:
Providing expert advice and serving as a primary consultant to enforcement staff on asset management issues, especially in the areas of portfolio management, risk management, operations, fund and marketing distribution, and/or valuation.
Preparing authoritative written reports, including evaluative commentaries, on issues relating to private funds, registered investment companies (including mutual funds and ETFs), and/or separately managed accounts (including retail investors).
Monitoring developments in the asset management industry, and providing expertise and insight as to potential risks and impact.
Participating in enforcement investigations and litigation, to include witness interviews, testimony, and trials, involving investment managers and advisers, separately managed accounts, mutual funds, investment companies, and/or private funds.
Supporting enforcement staff in carrying out high-level, high-visibility, and sensitive assignments, and in developing and conducting communications with other securities regulators.
Qualifications
All qualification requirements must be met by the closing date of this announcement.
MINIMUM QUALIFICATION REQUIREMENT:
SK-16: Applicant must have at least one year of specialized experience equivalent to the GS/SK-14 level in one of the following:
Serving in a senior role at an SEC-registered investment adviser to a private fund with at least $1 billion in assets under management in at least two of the following: (a) portfolio management, (b) risk management, (c) legal and compliance, and/or (d) valuation; OR
Serving in a senior role at an SEC-registered investment adviser to an SEC-registered investment company with at least $10 billion in assets under management in at least two of the following: (a) portfolio management, (b) operations, (c) risk management, (d) fund marketing and distribution, (e) legal and compliance, and/or (f) valuation.