SEC FELLOW - SECURITIES COMPLIANCE EXAMINER
- Employer
- U.S. Securities and Exchange Commission
- Location
- Washington D.C.
- Salary
- $115,847 - $239,410 per year
- Closing date
- Feb 9, 2022
View more
- Job Function
- Compliance/Regulatory
- Industry Sector
- Government
- Employment Type
- Full Time
Job Details
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 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.
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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