Securities Compliance Examiner

U.S. Securities & Exchange Commission
New York City, New York (US)
$115,778 - $218,623
May 15, 2019
May 28, 2019
Employment Type
Full Time

OCR assists the SEC in executing its responsibility for protecting investors, promoting capital formation, and maintaining fair, orderly, and efficient markets through the oversight of credit rating agencies registered with the SEC as nationally recognized statistical rating organizations (NRSROs). In support of this mission, OCR monitors the activities and conducts examinations of registered NRSROs to assess and promote compliance with statutory and SEC requirements.

  • OCR has personnel located in Washington, DC and New York, NY and the position is based in New York, NY.

    Typical duties include:

    • Works collaboratively within OCR to lead and participate in examinations and the monitoring of NRSROs for compliance with the SEC's rules and applicable provisions of the Securities Exchange Act.
    • Communicates with other divisions and offices within the SEC on matters related to examinations and monitoring.
    • Contributes to determining the exam scope and depth of fact-finding required based upon risk assessments.
    • Prepares scope memoranda, worksheets, examination summary letters, referrals, and reports.
    • Reviews and analyzes policies and procedures.
    • Conducts interviews of NRSROs' management and staff, evaluates findings, and formulates conclusions regarding NRSROs' compliance with statutory and regulatory requirements.
    • Prepares internal work deliverables, for example, reports, letters, and memoranda.
    • Participates in investigating tips, complaints, and referrals and Division of Enforcement matters.
  • Conditions of Employment
    • You must be a US Citizen
    • Application procedures are specific to this vacancy announcement. Please read all the instructions carefully. Failure to follow the instructions may result in you not being considered for this position.
    • Supplementary vacancies may be filled in addition to the number stated in this announcement.
    • This position has promotion potential to the SK-14.
    • PROBATIONARY PERIOD: This appointment may require completion of a one-year probationary period.
    • SECURITY CLEARANCE: Entrance on duty is contingent upon completion of a pre-employment security investigation. Favorable results on a Background Investigation may be a condition of employment or selection to another position.
    • DRUG TESTING: This position may be subjected to drug testing requirements.
    • PERMANENT CHANGE OF STATION (PCS): Moving/Relocation expenses are not authorized.
    • DIRECT DEPOSIT: All Federal employees are required to have Federal salary payments made by direct deposit to a financial institution of their choosing.
    • This position is in the collective bargaining unit.
  • Qualifications 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.


    SK-13: Time-in-grade for this announcement is one year at the GS/SK-12 level.
    SK-14: Time-in-grade for this announcement is one year at the GS/SK-13 level.

    SK-13: Applicant must have at least one year of specialized experience equivalent to the GS/SK-12 level. Specialized experience includes the following:
    1. Applying auditing, examination and/or investigative principles to review records related to the issuance, distribution or trading of securities, and the operational activities or internal controls/ risk management of financial entities such as financial management, structure, operations, and practices of credit rating agencies; AND
    2. Developing recommendations and/or reports of findings; AND
    3. Interacting with executive management, co-workers, and members of the securities industry to resolve issues.

    SK-14: Applicant must have at least one year of specialized experience equivalent to the GS/SK-13 level. Specialized experience includes the following:
    1. Reviewing and evaluating the procedures, practices, and records related to the financial management, structure, operations, and practices of Nationally Recognized Statistical Rating Organizations (NRSROs), self-regulatory agencies, investment companies, investment advisers, broker-dealers, OR any other entity registered with the SEC; AND
    2. Analyzing corporate, municipal, financial institutions or structured finance securities and applying knowledge of the operations of an entity registered with the SEC, including procedures and methodologies; AND
    3. Identifying and/or evaluating examination methodologies; AND
    4. Performing and facilitating interviews with entities being examined and preparing analysis and/or reports on examination findings.

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