MARKET SURVEILLANCE SPECIALIST

Location
Washington D.C.
Salary
$113,533 to $192,347 per year
Posted
13 Oct 2021
Closes
27 Oct 2021
Job Function
Compliance/Regulatory
Industry Sector
Government
Employment Type
Full Time

Summary

This position is in the Division of Enforcement, Associate Group 2, in the Office of Investigative & Market Analytics (IMA), located in Washington, DC.

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.

Responsibilities

Serve as an adviser and 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, take testimony, provide consultation and analysis on insider trading and market manipulation cases, and obtain and analyze trading data from internal and external sources.

Collaborate with SEC legal staff, U.S. Attorney's Office, and other federal, state, or local agencies on investigative matters.

Travel Required

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

Conditions of Employment

You must be a US Citizen.

For additional qualification requirements to apply, click the following link: https://go.usa.gov/xMHc4

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