Junior Accountant - EXAMS

Securities and Exchange Commission; Los Angeles (CA); On-site; USD 71,000 - 173,000; Full time

Job summary

Securities and Exchange Commission is seeking an early career Staff Accountant (Junior Accountant - EXAMS) to join the Office of Broker-Dealers, FSIO, IA/IC, OCS and PFU across various locations in the United States. The role supports examinations of securities industry entities to protect investors and ensure market integrity.

You will work on risk-based examination plans, analyze financial practices, interview principals, and develop reports with recommendations.

Qualifications

• You MUST provide transcripts or other documentation to support your educational claims.
• Official or unofficial transcripts are acceptable, or you may submit a list with all your courses, grades, semester, year, and credit for the course.
• If selected education substitutions apply, required transcripts or certificates must be provided to OHR upon request.
• FOREIGN EDUCATION: credentials must be evaluated by a private organization that specializes in interpretation of foreign education programs.
• NACES/AICE credential evaluation services guidance is provided for applicants.

Responsibilities

• Working as a member of a team of examiners with various levels of experience to conduct examinations of registered self-regulatory organizations, investment companies, investment advisers, broker-dealers, transfer agents, and clearing agencies.
• Evaluating possible risks to investors and the financial markets using quantitative techniques when possible, based on information reported to the SEC and other data sources.
• Executing risk-based examination plans: analyzing a financial institution's operations and procedures, sales practices, supervisory systems, books and records, and financial statements; reviewing investigatory complaints; investigating new financial products; examining specialized securities; interviewing registrants' principals; analyzing performance calculations for compliance.

Skills

Examinations

Quantitative analysis

Interviews

Job description

• Hiring Agency: Securities and Exchange Commission
• Department: Other Agencies and Independent Organizations

The Division of Examinations is seeking a early career Staff Accountant (Junior Accountant - EXAMS), SK-0510-09/11 in the Office of Broker-Dealers (BDX), Office of FINRA and Securities Industry Oversight (FSIO), Office of Investment Advisers and Investment Companies (IA/IC), Office of Clearance Settlement (OCS) and Private Funds Unit (PFU) in various locations.

Key Responsibilities

The mission of the Division of Examinations is to protect investors, ensure market integrity and support responsible capital formation through risk-focused strategies that: (1) improve compliance; (2) prevent fraud; (3) monitor risk; and (4) inform policy.

This role as a Junior Accountant - EXAMS, you will be responsible for: Working as a member of a team of examiners with various levels of experience and professional backgrounds to conduct examinations of registered self-regulatory organizations, investment companies, investment advisers, broker-dealers, transfer agents, and clearing agencies; Evaluating possible risks to investors and the financial markets of registered securities-related financial institutions' business models and practices based on review and analysis, through modern quantitative techniques when possible, of information reported by the institutions to the SEC and other internal and external data sources; Executing risk-based examination plans, which frequently involves: (i) analyzing a financial institution's operations and procedures, sales practices, supervisory systems, books and records, and financial statements, (ii) reviewing investigatory complaints, (iii) investigating new financial products, (iv) examining specialized securities, (v) interviewing principals of registrants, and/or (vi) analyzing performance calculations to assess the level of compliance with federal securities laws and/or self-regulatory requirements; AND Developing recommendations and reports, presenting and defending findings, and collaborating as required with legal staff.

Requirements & Education

You MUST provide transcripts or other documentation to support your educational claims. Unless otherwise stated:(1) official or unofficial transcripts are acceptable, or (2) you may submit a list with all your courses, grades, semester, year, and credit for the course. If you are qualifying for this position by substituting education or training for experience, you must submit a copy of your unofficial transcripts or equivalent by the closing date of the announcement.

Qualifying education must have been obtained from an accredited college or university recognized by the U.S. Department of Education. Internal Applicants: OHR will verify education qualifications for internal applicants using documents in the Electronic Official Personnel Folder (eOPF). If required transcripts or certificates are not present in your eOPF, you will be required to provide them to OHR.

If selected, a start date will not be established until official transcripts are received. FOREIGN EDUCATION: If you are using education completed in foreign colleges or universities to meet the qualification requirements, you must show the education credentials have been evaluated by a private organization that specializes in interpretation of foreign education programs. For more information, click here.

Applicants may also find the following helpful: National Association of Credential Evaluation Services (NACES) is an association of 19 credential evaluation services with admission standards and an enforced code of good practice. Association of International Credentials Evaluators (AICE) is an association of 10 credential evaluation services with a board of advisors and an enforced code of ethics.

Which agency is hiring for this position?

This position is with Securities and Exchange Commission, Other Agencies and Independent Organizations.

What is the salary for this position?

The posted pay range is $71465 – $173182/yr.

What security clearance is required?

This position requires a Other security clearance.

What is the application deadline?

Applications close on 2026-11-30.

Who is eligible to apply?

This position is open under the 'Public' hiring path.

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Source: USAJOBS.gov — U.S. Federal Government