Market Surveillance Specialist

U.S. Securities and Exchange Commission

Position: Market Surveillance Specialist, SK-1801-13

Promotion Potential: SK-13

Location: Washington, DC

Salary: $122,649 - $207,791 per year

Open & Close Dates: 05/19/2023 to 06/01/2023

Vacancies: One (1)

Summary:

The Division of Enforcement investigates possible violations of securities laws, recommends Commission action when appropriate, either in a federal court or before an administrative law judge, and negotiates settlements.

This position is in the Division of Enforcement, Associate Group 2, in the Office of Investigative & Market Analytics (IMA), located in Washington, DC.

Conditions of Employment:

This position is open to U.S. Citizens.

Typical duties include:

• Serve as an adviser and technical authority for market surveillance to the enforcement program by gathering market intelligence and providing analysis and review of trading activity in equities, options, fixed income, and other securities instruments.

• Conduct complex investigations, and assemble, analyze and develop reports related to all aspects of securities trading, including but not limited to: insider trading; market manipulation; broker-dealer policies, practices and procedures; clearing firms; investment advisers; transfer agents; securities exchanges; self-regulatory organizations (SROs); and SEC-registered companies.

• Analyze registrant filings; review investigative files, SRO referral files, and actions taken by securities self-regulatory organizations, broker-dealers, clearing firms, and other registered entities; and review information obtained pursuant to Commission subpoenas.

• Refer to the announcement on USAJOBS.gov for additional information.

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. 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: In addition to meeting the basic requirement, applicants must also meet the minimum qualification requirement.

SK-13: Applicant must have at least one year of specialized experience equivalent to the GS/SK-12 level performing at least four of the following:

(1) Conducting investigations of securities market activity;

(2) Analyzing equities and/or options trading;

(3) Performing market research into trading volumes, stock prices, and financial market news using industry-standard databases;

(4) Developing reports and recommendations; and

(5) Providing advice related to securities trading, trading strategies, broker-dealer operations, clearing firms, transfer agents, and/or securities industry policies, practices, and procedures.

Education:

Official transcripts will be required at the time of appointment to verify education.

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. Please click here for additional information.

Additional guidance and application instructions can be found here: https://www.usajobs.gov/job/726951300