Senior Specialized Examiner (Sales Practices) recruitment
The Senior Specialized Examiner (Sales Practices) will:
- Primarily relate to supporting examinations and projects relating to Sales Practices at large firms.
- The incumbent will be part of an interdisciplinary team charged with examining and reviewing sales practice risks at large firms. The incumbent will support the Assistant Director in the execution of the risk-targeted examinations to maintain regulatory scrutiny of the large firms, as well as analyzing the information across firms to alert parties to industry developments and help further focus future exams. This position will also be responsible for periodically reporting on business, risk, regulatory and compliance matters as well as examination findings to OCIE management and, as necessary or appropriate to the Commission, and/or its other Divisions and Offices.
- Special attention will be placed on analysis of sales practice risks such as analysis of new products, systems that support the distribution of those products as well as the marketing sales and supervision of those products. The incumbent may be part of a team that meets with large broker-dealers to discuss these issues. The incumbent will also be responsible for reviewing public and private filings with the Commission, reviewing other information obtained or produced by the Commission (e.g., exam reports, TCRs), communicating and coordinating with their peers within the Commission and with other regulators regarding firms and issues of common interest. The incumbent may also participate in various forums within the Commission and in meetings with other regulators to ensure that the group is getting the perspective of others and to ensure that other parties are benefiting from these examination efforts.
- The incumbent may represent OCIE in meetings with staff of other federal agencies and the securities industry.
- Travel is required; primarily to New York if based in D.C.
You MUST be a US Citizen with at least one year of specialized experience equivalent to at least the GS/SK-14 level planning examination functions using a variety of examination methods and techniques. Must have significant sales practice experience in the securities and/or derivatives markets gained through either applying auditing, examining and/or investigating principles to review records related to the issuance, distribution or trading of securities while working in the front office, internal audit or surveillance departments, or function at a large financial institution, such as broker-dealer, bank, or hedge fund; or work as an internal auditor or external auditor auditing these functions at a large financial institution; or work as a financial regulator of a large financial institution such as those noted above. Prepared reports and/or data and detailed analytical presentations on complex compliance examination findings; and identifying new and unique situations from complex and potentially precedent-setting circumstances and recommended proposed resolutions to senior staff.
Preferred Experience:
- Broad knowledge of securities laws, and the rules and regulations promulgated pursuant to these statutes, with a particular emphasis on rules affecting sales practices, securities and/or derivative markets
- Ability to analysis sales practice risks such as analysis of new products, systems that support the distribution of those products as well as the marketing sales and supervision of those products.
- Strong written and verbal communication skills.
- Ability to work well in a team environment and lead a team of staff in auditing or examining large firms particularly with respect to examining and reviewing sales practice risks at large firms.
- The specific requirements are also listed in the assessment questionnaire which is part of the application.
For more information about the position and to apply, please visit our website:
http://www.sec.gov/jobs/ohr/job643873.html
Please use Vacancy Identification Number:643873
The closing date of this position is : May 21, 2012