Securities Compliance Examiner, SEC

The Private Funds Unit (PFU) within the Division of Examinations is filling one Securities Compliance Examiners, SK-1831-14 position inone 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

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 in the Division that is responsible for providing expert examination guidance and leadership for sensitive and complex programs, issues, and problems dealing with examination or inspection activities for areas of program emphasis such as self-regulatory organizations, broker-dealers, transfer agents, clearing agencies, investment companies, and investment advisers.

As a Securities Compliance Examiner you will:

• Lead and participate in examinations and providing technical assistance and support in the Division of Examinations on examinations of investment advisers to private funds including hedge funds, private equity, real estate, commodity and other advisers;

• Develop recommendations and reports, present and defend findings, and as required, collaborate with the legal staff and providing technical support for investigations and litigation of civil matters, administrative proceedings, and criminal prosecutions where complex private fund issues are involved;

• Initiate and conduct consultations with the staff of Division of Examinations as well as other Divisions and Offices on issues which present difficult private fund questions;

• If appropriate, provide technical support to senior examiners developing responses to requests; prepare or review reports involving financial, accounting and policy questions; draft memoranda, related documents, agreements, and correspondence in their examinations of private fund advisers; and

• If appropriate, mentor junior exam staff in developing request lists and responses, memoranda drafting, report preparation, and issue resolution in their examinations of private funds.

  Requirements

  Conditions of Employment

  • You must be a US Citizen.

  • Application procedures are specific to this vacancy announcement. Please read all the instructions carefully. Failure to follow the instructions may result in you not being considered for this position.

  • Supplementary vacancies may be filled in addition to the number stated in this announcement.

  • This position has promotion potential to the SK-14.

  • PROBATIONARY PERIOD: This appointment may require completion of a one-year probationary period.

  • SECURITY CLEARANCE: Entrance on duty is contingent upon completion of a pre-employment security investigation. Favorable results on a Background Investigation may be a condition of employment or selection to another position.

  • DRUG TESTING: This position may be subjected to drug testing requirements.

  • PERMANENT CHANGE OF STATION (PCS): Moving/Relocation expenses are not authorized.

  • DIRECT DEPOSIT: All Federal employees are required to have Federal salary payments made by direct deposit to a financial institution of their choosing.

  • This position is in the collective bargaining unit.

  • Due to COVID-19, the SEC is currently in an optional telework posture. This position is eligible to request telework in accordance with the SEC 's telework policy.

  • Typical Examiner Travel: Examination staff routinely travel to the offices of registered entities to conduct on-site inspections of facilities, to meet with and interview entity personnel, and to examine certain business records.

  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. Specialized experience includes the following below: Performing at least one of the following functions:

  1. Engaging in or regulating private funds or their operations; OR

  2. Performing examinations, investigations, audits or internal reviews that involve analyzing investments in a hedge fund, private equity or other alternative investment product; OR

  3. Developing recommendations and/or reports of findings to address and resolve issues relating to the private fund industry.

  Education

  This job does not have an education qualification requirement.
  

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