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SECURITIES COMPLIANCE EXAMINER

Employer
U.S. Securities and Exchange Commission
Location
Los Angeles, California
Salary
$136,428 - $231,132 per year
Closing date
Apr 7, 2023

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Job Function
Compliance/Regulatory, Risk Management
Industry Sector
Government
Employment Type
Full Time

Job Details

The Los Angeles Regional Office within the Division of Examinations is filling one position for a Securities Compliance Examiner, SK-1831-14 located in Los Angeles, CA.

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 of Examinations that is responsible for the nationwide examination and inspection program for investment companies, investment advisers, broker-dealers, transfer agents, and/or municipal advisors.

As a Securities Compliance Examiner, you will:

  • Work as a member of a team of examiners with various levels of experience and professional backgrounds to conduct examinations of securities-related financial institutions registered with the SEC such as investment companies, investment advisers, broker-dealers, transfer agents, and municipal advisors;
  • Evaluate possible risks to investors and the financial markets of registered securities-related financial institutions' business models and practices based on review and analysis, through modern quantitative techniques when possible, of information reported by the institutions to the SEC and other internal and external data sources;
  • Execute risk-based examination plans, which frequently involves: (i) analyzing a financial institution's operations and procedures, sales practices, supervisory systems, books and records, and financial statements, (ii) reviewing investigatory complaints, (iii) investigating new financial products, (iv) examining specialized securities, (v) interviewing principals of registrants, and/or (vi) analyzing performance calculations to assess the level of compliance with federal securities laws and/or self-regulatory requirements; and
  • Develop recommendations and reports, presenting and defending findings, and collaborating as required with legal staff.
  • You must be a US Citizen.

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:

  1. Interpreting and applying the provisions of the Investment Advisers Act and/or the Investment Company Act, Securities Act of 1933, Securities Exchange Act of 1934 and any related rules and regulations and/or other federal securities rulesAND
  2. Analyzing and reporting on financial data through the use of relational database management system or have advanced skills using spreadsheets such as Microsoft Excel;

Performing at least two of the following functions:

  1. Leading examinations, investigations, audits or internal compliance reviews of securities-related financial institutions such as investment advisers, investment companies, or private funds;
  2. Developing and implementing tests of internal controls or internal risk management programs (such as enterprise or operational risk management);
  3. Developing recommendations and/or reports of findings to address and resolve issues relating to the private fund industry, financial institutions, or the securities industry;
  4. Performing examinations, investigations, audits or internal reviews that involve analyzing investments in a hedge fund, private equity or other alternative investment product;
  5. Engaging in securities trading, portfolio management, or investment management or performing investment analysis, or management of securities;

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.

Company info
Website
Telephone
202-551-4137
Location
100 F Street, NE
Washington
DC
20549
United States

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