SECURITIES COMPLIANCE EXAMINER
- Employer
- U.S. Securities and Exchange Commission
- Location
- New York City, New York (US)
- Salary
- $98,030 to $166,095 per year
- Closing date
- Oct 8, 2021
View more
- Job Function
- Accounting/Audit/Tax, Compliance/Regulatory, Corporate Finance
- Industry Sector
- Government
- Employment Type
- Full Time
Job Details
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
Company
The U.S. Securities and Exchange Commission is looking for the best and brightest to join our team. Our mission includes advocating for investors who seek to secure a future for their family, providing guidance and regulations for the nation’s securities industry in an increasingly global market, and taking action with an eye toward promoting the capital formation necessary to sustain economic growth.A career with the Securities and Exchange Commission (SEC) offers work that is exciting, challenging and rewarding. You can contribute to securities regulation and enforcement while making a positive difference for the American investing public.
- Website
- http://www.sec.gov/
- Telephone
- 202-551-4137
- Location
-
100 F Street, NE
Washington
DC
20549
United States
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