SEC Fellows - Securities Compliance Examiner

Written By Plamen Petkov

The Event and Emerging Risk Examination Team within the Division of Examinations is filling one SEC Fellow - Securities Compliance Examiner, SK-1831-14 position in one of the following locations:

Atlanta, GA; Boston, MA; Chicago, IL; Denver, CO; Ft Worth, TX; Los Angeles, CA; Miami, FL; Philadelphia, PA; New York, NY; San Francisco, CA; Salt Lake City, UT or Washington, DC.
Duties

Description:

The Division of Examinations' mission is to protect investors, ensure market integrity and support responsible capital formation through risk-focused strategies that:

1) improve compliance;

2) prevent fraud;

3) monitor risk; and

4) inform policy.

The results of the Division's examinations are used by the SEC to inform rule-making initiatives, identify and monitor risks, improve industry practices and pursue misconduct.


If selected, you will join a well-respected team that is responsible for supporting EXAMS' mission to conduct and coordinate the nationwide examination program for entities over which the Commission has regulatory authority.

As an SEC Fellow - Securities Compliance Examiner you will:

  • Address exigent threats, incidents, and emerging risks through the conduct of examinations and inspections, firm engagement meetings, and monitoring activities;

  • Participate in examinations of registered investment advisers, investment companies, broker-dealers, and private fund managers, conducting interviews of compliance professionals;

  • Provide technical assistance and support in one or more of the Division's programs with emphasis on registered self-regulatory organizations, investment companies, investment advisers, broker-dealers, transfer agents, and clearing agencies, (collectively "registrants");

  • Plan and conduct examinations, developing reports of findings, communicating verbally in meetings, drafting detailed findings in reports, and providing advice and recommendations for complex clearing agency examinations;

  • Provide technical advice and assistance in the areas of registrant operations, evaluating internal control processes, performing complex and difficult assignments supporting the mission of the Division of Examinations; and

  • Analyze the methods used for valuing a portfolio of securities, reconstructing records and process flows, analyzing cash-management systems, investigating new financial products, analyzing performance calculations, and/or analyzing risk.

Conditions of Employment:
You must be a US Citizen.

To apply: Click here

Plamen Petkov
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