Securities Compliance Examiner, SEC
Location: Washington, DC
Open and Close Dates: 06/13/2022 to 06/24/2022
Salary: $134,304 - $227,534 per year
Summary
The Division of Investment Management works to support the SEC in its mission to protect investors, maintain fair, orderly, and efficient markets, and facilitate capital formation. IM regulates investment companies, variable insurance products, and federally registered investment advisers.
The Division of Investment Management is seeking to fill one securities compliance examiner position in the Analytics Office (AO).
Conditions of Employment
CITIZENSHIP: This position is open to US Citizens.
Responsibilities
Work on projects designed to address questions relating to registered investment advisers, registered investment companies and private funds, including industry outreach, examinations, and analysis of asset management industry data.
Research legal issues under the Investment Company Act and Investment Advisers Act and related regulations, and provide review, analysis, and/or guidance in a clear and concise way that is appropriate for the audience.
Work closely with analytical, exam/outreach staff and other division staff to analyze and summarize industry data, information gathered in outreach, and exam findings in a clear, concise way that is appropriate for the audience.
Coordinate with staff across the Division and Commission, as well as public and industry representatives regarding policy affecting AO and the Division.
This position is located in Washington, D.C. - with limited opportunities for placement in regional offices, for well-qualified selectees.
All qualification requirements must be met by the closing date of this announcement.
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-14: Applicant must have at least one year of specialized experience equivalent to the GS/SK-13 level:
Collecting, reviewing and analyzing data and information to identify potential policy implications or securities law violations and generate reports;
Developing recommendations and/or reports of findings to resolve issues;
Conducting briefings, orally and in writing, for management and/or representing the organization at briefings, meetings, or conferences in ways that are appropriate and impactful for a variety of audiences, including senior leadership, other staff, and the public.
Additional information and the link to the application can be found here.