Staff Accountant, SK-0510-12 or 13, SEC
Location: New York, NY or Washington, DC
The Broker-Dealer and Exchange (BDX) Examination Program within the Division of Examinations is filling two positions for a Staff Accountant, SK-0510-12 or 13 located in the following: New York, NY or Washington, DC.
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 in the Division that is responsible for providing expert examination guidance and leadership for sensitive and complex programs, issues, and problems dealing with examination or inspection activities for areas of program emphasis such as broker-dealers, transfer agents, clearing agencies, self-regulatory organizations, investment companies, and investment advisers.
As a Staff Accountant you will:
Provide technical assistance and support in one or more of the Division of Examinations' accounting/examining program with emphasis on registered self-regulatory organizations, broker-dealers, transfer agents, investment companies, investment advisers, and clearing agencies, (collectively "registrants");
Plan and conduct examinations, develop reports of findings, communicate verbally in meetings, draft detailed findings in reports, and provide advice and recommendations for complex clearing agency examinations;
Provide technical advice and assistance in the areas of accounting principles and standards, evaluate internal control processes, perform complex and difficult assignments supporting the mission of the Division of Examinations program; and
Analyze complex internal control systems and processes, analyze the methods used for valuing and accounting for a portfolio of securities, reconstruct records and process flows, analyze cash-management systems, investigate new financial products, analyze performance calculations, and/or analyze risk.
Conditions of Employment:
You must be a US Citizen.