Securities Compliance Examiner, SEC
Location: New York, NY
The Securities Compliance Examiner position is in the Office of Credit Ratings (OCR) located in New York, NY and is open to all US Citizens.
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.
Qualifications
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-13: 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; AND 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; AND Identifying and/or evaluating emerging trends in the credit ratings market; AND Examining NRSROs including conducting interviews, reviewing documents and preparing analysis and/or reports on the results and incidents of non-compliance.
Education
This job does not have an education qualification requirement.