Securities Compliance Examiner
The Office of Compliance Inspections and Examinations ("OCIE"). OCIE administers the SEC's nationwide examination and inspection program for registered self-regulatory organizations, broker-dealers, transfer agents, clearing agencies, municipal advisors, investment companies, and investment advisers.
If selected, you will join a well-respected team in the Broker-Dealer Examination Program that is responsible for the nationwide examination and inspection program for registered self-regulatory organizations, broker-dealers, clearing agencies, transfer agents, municipal advisors, investment companies, and/or investment advisers.
Typical Duties Include:
- Working as a member of a team or under the tutelage of higher-graded employees, provides securities compliance examination support for actions being undertaken by the SEC;
- Providing technical assistance and support for one or more of Compliance Inspections and Examinations program areas of program emphasis such as self-regulatory organizations, broker-dealers, transfer agents, municipal advisors, municipal and government securities dealers, investment companies, investment advisers and clearing agencies -both clearing corporations and securities depositories- which are registered under the Securities Exchange Act of 1934;
- In a developmental capacity providing support for one or more of the Compliance Inspections and Examinations program's examination, investigation and enforcement activities and operations such as reviewing financial statements, evaluating financial accounting systems, coordinating examinations with stock exchanges, reconstructing records, examining and analyzing "street intelligence," analyzing cash-management systems, reviewing investigatory complaints, investigating new financial products, examining specialized securities such as junk bonds, interviewing principals of registrants, analyzing performance calculations, analyzing risk, developing surveillance initiatives; and
- Developing recommendations and reports, presenting and defending findings, and as required collaborating with the legal staff.