Securities Compliance Examiners recruitment
The Securities Compliance Examiners will:
- Serve as a Securities Compliance Examiner and participate in planning and conducting securities compliance examinations, developing reports of findings, and providing advice and recommendations for examinations of broker dealers, investment advisers (including advisers to hedge funds, private equity funds and other private funds), investment companies, and transfer agents.
- Provide advice and technical support for examinations, investigations and enforcement activities and operations such as reviewing financial statements, evaluating financial accounting systems, reconstructing records, reviewing complaints, investigating new financial products, examining specialized securities such as structured products, analyzing performance calculations, analyzing risk, developing surveillance initiatives, developing recommendations and reports, presenting and defending findings, and collaborating with staff from other divisions.
- Conduct research, review and analyze a variety of documents related to securities compliance examinations and market regulation, and develop recommendations to resolve problems or issues encountered in assigned area of specialization/focus. As required, provide assistance and technical support for reviewing new legislation and developing and implementing guidance and assist senior staff in the examination of existing standards and the development of changes or new rules or standards. Work with senior examiners engaged in developing and preparing guidance on a variety of complex issues arising from interpretation and application of statutes administered by the Office.
- Facilitate conferences and interviews with a variety of company personnel concerning operational and examination issues to determine possible regulatory violations. Anticipate enforcement needs and gather evidence to support preliminary findings of violations. Prepare reports of findings as well as correspondence to an entity outlining deficiencies and corrective actions to be taken. Conduct a wide variety of assignments and processes related to the examination of registrants and liaison activities with the regional offices.
- Represent the SEC in meetings with staff of other federal agencies and the securities industry. Respond to inquiries concerning the work of the Office and maintains productive work relationships with federal and state agencies and the industry.
The successful candidate MUST be a US Citizen.
Qualifying experience for:
SK-9 Level: Includes one year of specialized experience equivalent to at least the GS/SK-7 level assisting with the audits, examinations, or investigations of broker dealers, investment advisers (including advisers to hedge funds, private equity funds, and other private funds) , investment companies, and transfer agents, including experience with procedures, practices, and records related to the issuance, distribution, trading, investment analysis, and/or management of securities.
SK-11 Level: Includes one year of specialized experience equivalent to at least the GS/SK-9 level interpreting and applying the federal securities laws and rules; applying auditing, examining and/or investigating principles to review records related to the issuance, distribution or trading of securities, and the operational activities of financial markets, and financial entities such as broker-dealers, investment advisers (including advisers to hedge funds, private equity funds, and other private funds) , investment companies, and transfer agents; and conducting interviews, briefings, and presentations.
SK-12 Level: In addition to the experience required at the SK-11 level above, qualifying experience for the SK-12 level includes one year of specialized experience equivalent to at least the GS/SK-11 level researching complex issues requiring extensive probing and analysis; knowledge of conducting examinations, audits and/or investigations of the operational activities of broker dealers, investment advisers (including advisers to hedge funds, private equity funds, and other private funds), investment companies, and transfer agents; and interacting effectively with executive management, co-workers, and members of the securities industry to resolve novel, unique, and complex issues.
SK-13 Level: In addition to the experience required at the SK-12 level above, qualifying experience for the SK-13 level includes one year of specialized experience equivalent to at least the GS/SK-12 level conducting examinations, audits and/or investigations of the operational activities of broker dealers, investment advisers (including advisers to hedge funds, private equity funds, and other private funds) , investment companies, and transfer agents; and conducting briefings for management and/or representing the organization at briefings, meetings or conferences, conveying complex and technical information clearly and concisely, and appropriately providing the level of detail to address the concerns of the intended audience.
- Candidates must provide official/unofficial transcripts if using substitution of education for experience.
For more information about the position and to apply, please visit our website:
http://www.sec.gov/jobs/ohr/job694193.html
Please use Vacancy Identification Number:694193 The closing date of this position is: July 19, 2012