Securities Compliance Examiner, SEC
U.S. Securities and Exchange Commission
THIS POSITION IS ACCEPTING APPLICATIONS FOR THE FOLLOWING LOCATIONS:
Washington, DC; Los Angeles, CA; San Francisco, CA; Denver, CO; Atlanta, GA, New York, NY; Chicago; IL, Boston, MA; Philadelphia, PA; Fort Worth, TX
Salary: $149,335 - $272,100 per year
Open & Close dates: 07/03/2023 to 07/17/2023
Job Link: https://www.usajobs.gov/job/735096400
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.
At the Securities and Exchange Commission (SEC), we are committed to diversity, equity, inclusion and accessibility (DEIA) and value a workforce that reflects the diverse experiences and perspectives of the communities we serve. As such, we welcome applications from qualified individuals of all backgrounds who share our commitment to public service.Typical duties of this position 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.
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-:16: Applicant must have at least one year of specialized experience equivalent to the GS/SK-14 level performing one of the following:
1. Serving as a portfolio manager to a private fund at an SEC-registered investment adviser with at least $1 billion in assets under management; or
2. Serving as a portfolio manager to an SEC-registered investment company at an SEC-registered investment adviser with at least $10 billion in assets under management.