Securities Compliance Examiner, SEC
U.S. Securities and Exchange Commission
Open and Close Dates: 07/17/2023 to 07/31/2023
Location: New York, NY
Salary: $126,046 - $245,201 per year
Summary
The Securities Compliance Examiner position is in the Office of Credit Ratings (OCR) located in New York, NY and is open to all U.S. Citizens.
Conditions of Employment
CITIZENSHIP: This position is open to US Citizens.
Typical duties include:
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 Include:
Working collaboratively within OCR to lead and participate in examinations and the monitoring of NRSROs for compliance with the Commission's rules and applicable provisions of the Securities Exchange Act.
Communicating with other divisions and offices within the Commission on matters related to examinations and monitoring.
Contributing to determining the exam scope and depth of fact-finding required based upon risk assessments.
Preparing scope memoranda, worksheets, examination summary letters, referrals, and reports.
Reviewing and analyzing policies and procedures.
Conducting interviews of NRSRO management and staff, evaluating findings, and formulating conclusions regarding NRSROs' compliance with statutory and regulatory requirements.
Preparing internal work deliverables, for example, reports, letters, and memoranda.
Participating in investigating tips, complaints, and referrals and Division of Enforcement matters.
MINIMUM QUALIFICATION REQUIREMENT: Applicants must also meet the minimum qualification requirement.
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:
SK13: Applicant must have at least one year of specialized experience equivalent to the GS/SK-12 level:
Auditing, examining, or administrating the procedures and practices related to the financial management, structure, or operations of credit ratings agencies; OR
The analysis of rated securities, either in the assignment of credit ratings, or using credit ratings in an investment analysis or other type or analysis; OR
Assisting in the identification, analysis and reporting of examination results and incidents of non-compliance with federal regulations for regulated entities.
SK-14: Applicant must have at least one year of specialized experience equivalent to the GS/SK-13 level:
Reviewing and evaluating the procedures, practices, and records related to the financial management, structure, operations, and practices of credit rating agencies; OR
Analyzing corporate, municipal, or structured finance securities and applying knowledge of federal securities laws, Commission rules and Nationally Recognized Statistical Rating Organizations (NRSROs) operations, including procedures for determining credit ratings; OR
Identifying and/or evaluating emerging trends in the credit ratings market; OR
Examining NRSROs including conducting interviews, reviewing documents and preparing analysis and/or reports on the results and incidents of non-compliance.