Securities Compliance Examiner

Agency: U.S. Securities and Exchange Commission

Position: Securities Compliance Examiner, SK-1831-16

Promotion Potential: SK-16

Open & Close Dates: 05/30/2023 to 06/12/2023

Salary: $160,831 - $272,100 per year

Vacancies: Two (2)

Location(s): Atlanta, GA; Boston, MA; New York, NY; Philadelphia, PA; Washington, DC

Job Link: https://www.usajobs.gov/job/728439400

Summary:

The Division of Enforcement conducts investigations into possible violations of the federal securities laws, and prosecutes the Commission's civil suits in the federal courts as well as in its administrative proceedings.

These positions are located in the Division of Enforcement, Associate Group 2, in the Office of Investigative & Market Analytics (IMA).

Conditions of Employment:

This position is open to U.S. Citizens.

Typical duties include:

• Providing technical expertise and advice on one or more of the following areas: securities trading; fixed income securities; derivatives, swaps, structured products, and other complex instruments; novel investment practices and strategies; financial compliance; forensic accounting/internal auditing; valuation of securities; crypto assets; and risk analysis.
• Serving as a subject matter and technical expert on the sourcing and interpretation of financial data and on the use of data science (including artificial intelligence and machine learning), big data principles, and data analytics for Enforcement investigations, litigations, and initiatives, including on high-level, high-visibility, and sensitive assignments that frequently require immediate action.
• Sourcing, collecting, and structuring financial data; integrating multiple large data sets, performing analyses, and preparing user-friendly analytic work products; identifying and interpreting financial data, patterns, and trends to support Enforcement cases and data-driven initiatives and identifying potential violations of the federal securities laws.
• Refer to the announcement on USAJOBS.gov for additional information.

Qualifications

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. You will receive credit for all qualifying experience, including volunteer experience. Qualifying education must have been obtained from an accredited college or university recognized by the U.S. Department of Education.

MINIMUM QUALIFICATION REQUIREMENT: In addition to meeting the basic requirement, applicants must also meet the minimum qualification requirement.

SK-16: Applicant must have at least one year of specialized experience equivalent to the GS/SK-14 level:

(1) Identifying or investigating financial fraud, risk analysis, financial compliance, and/or forensic accounting;

(2) Interpreting complex financial and securities-industry data;

(3) Programming in Python; and

(4) Quantitative analysis of large datasets.

Education:

Official transcripts will be required at the time of appointment to verify education.

Additional Information:

SEC Compensation Program: The overall salary range listed above is provided for informational purposes as it represents the full range that is applicable to current employees in this occupation/grade; however, a selectee's initial pay is always set below the maximum rate of the range. For additional information, refer to https://www.sec.gov/ohr/sec-compensation.

Additional guidance and application instructions can be found here: https://www.usajobs.gov/job/728439400