SECURITIES COMPLIANCE EXAMINER

Summary

The Division of Enforcement conducts investigations into possible violations of the federal securities laws, and litigates the Commission's civil enforcement proceedings in the federal courts and in administrative proceedings.

The Securities Compliance Examiner position will serve in an investigating role and is within the Division of Enforcement in the New York Regional Office located in New York, NY.

Responsibilities

If selected, you will serve as a securities compliance examiner responsible for conducting investigations involving violations of the Federal Securities laws, in the Division of Enforcement in the New York Regional Office.

Typical duties include:

• Providing advice, analysis and technical support for the Division of Enforcement's investigation and enforcement activities and operations, such as reviewing financial statements, evaluating financial accounting systems, coordinating investigations with other regulators, reconstructing records, gathering and analyzing market information, reviewing business operations of securities-related financial institutions, reviewing investigatory complaints, researching and analyzing novel and unique financial products, interviewing principals of registrants, analyzing performance calculations, researching and applying federal securities laws to the operations of securities-related financial institutions, developing findings and drafting written reports, charts and/or graphs presenting and defending findings, conducting conferences to communicate with the industry, collaborating with the legal staff and providing technical expertise for investigations and litigation of civil matters, administrative proceedings, and criminal prosecutions.
• Working in an investigations role with senior examiners, lawyers, and accountants engaged in analyzing and documenting violations of the Federal Securities laws. Working with senior examiners, lawyers, and accountants in preparing court documents and/or demonstrative exhibits as part of investigations.
• Assisting in the on-the-job training for lower-grade investigating examiners, selecting topics to be presented, developing training materials, participating in the presentation of instruction, ensuring that training materials and instruction content reflect the latest trends in the industry and the policies of the SEC, and serving as a mentor.

Travel Required

Occasional travel - You may be expected to travel for this position.

For qualification requirements or to apply, click the following link: https://go.usa.gov/xMPN4