Market Surveillance Specialist, SEC
U.S. Securities and Exchange Commission
Open and Close Dates: 01/17/2023 to 01/30/2023
Location: Washington, DC
Salary: $134,304 - $227,534 per year
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.
Duties
The incumbent of this position will:
• Serve as a senior adviser and leading 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.
• Conduct market research to obtain historical securities trading data and other market-related information using Bloomberg, Thompson Reuters, or other industry-standard databases.
• Issue request letters and subpoenas, draft actions memos, take testimony, assist trial attorneys in preparation for trial, assist with settlement discussions, testify at trial, provide consultation and analysis on insider trading and market manipulation cases, obtain and analyze trading data from internal and external sources, and provide technical advice on drafting statutes and rules related to Market Surveillance Program operations.
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-14: Applicant must have at least one year of specialized experience equivalent to the GS/SK-13 level:
(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 that provide analysis of trading activity and making recommendations about further investigative steps or outcomes; and
(5) Providing advice related to securities trading, trading strategies, broker-dealer operations, clearing firms, transfer agents, and securities industry policies, practices, and procedures.
Additional qualification information and the link to the application can be found here: https://www.usajobs.gov/job/700201400.