SEC FELLOW - SECURITIES COMPLIANCE EXAMINER
U.S. Securities and Exchange Commission
Salary: $125,775 - $261,400 per year
Open & Close Dates: 03/20/2023 to 04/06/2023
Job Link: https://www.usajobs.gov/job/713420700
Summary:
The Event and Emerging Risk Examination Team within the Division of Examinations is filling one SEC Fellow - Securities Compliance Examiner, SK-1831-14 position in one of the following locations: Atlanta, GA; Boston, MA; Chicago, IL; Denver, CO; Ft Worth, TX; Los Angeles, CA; Miami, FL; Philadelphia, PA; New York, NY; San Francisco, CA; Salt Lake City, UT or Washington, DC.
Conditions of Employment
CITIZENSHIP: This position is open to US Citizens.
The Division of Examinations' 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 results of the Division's examinations are used by the SEC to inform rule-making initiatives, identify and monitor risks, improve industry practices and pursue misconduct.
If selected, you will join a well-respected team that is responsible for supporting EXAMS' mission to conduct and coordinate the nationwide examination program for entities over which the Commission has regulatory authority.
Typical Duties Include:
Address exigent threats, incidents, and emerging risks through the conduct of examinations and inspections, firm engagement meetings, and monitoring activities;
Plan and conduct examinations, conduct interviews of compliance professionals, develop reports of findings, communicate verbally in meetings, and draft detailed findings in reports of registered investment advisers, investment companies, broker-dealers, clearing agencies, and private fund managers;
Provide technical assistance and support in one or more of the Division's programs with emphasis on registered self-regulatory organizations, investment companies, investment advisers, broker-dealers, transfer agents, and clearing agencies, (collectively "registrants");
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 Division of Examinations; 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.
Qualifications
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 leading at least three of the following functions. Specialized experience includes the following below:
Performing assessments, compliance reviews, or audits of investment advisers or investment companies, broker-dealers, exchanges, clearing agencies, or transfer agents;
Assessing, examining, or investigating principles, techniques, and/or practices that involve the review and evaluation of procedures, records and/or practices of Private Funds (e.g. hedge funds, private equity funds, and real estate funds);
Collecting and extracting data from a variety of sources and compiling research results;
Implementing and integrating technology to facilitate compliance with regulatory requirements (RegTech) in firms' compliance programs;
Implementing policies and procedures to ensure appropriate controls and compliance around the creation, receipt, and use of alternative data, or data gleaned from non-traditional sources;
Engaging in back office financial operations at a securities-related financial institution such as an investment adviser, investment company, or broker-dealer;
Engaging in securities operations at a securities-related financial institution such as an investment adviser, investment company, or broker-dealer;
Engaging in investment operations or fund administration at an investment adviser or investment company; or
Performing analysis, compliance reviews or audits of cyber and information technology functions.
Additional guidance and application instructions can be found here: