Securities Compliance Examiner

U.S.-Securities-and-Exchange-Commission; Washington (District of Columbia); On-site; USD 85,000 - 120,000; Full time

Job summary

The Division of Examinations at the U.S. Securities and Exchange Commission seeks a Securities Compliance Examiner, SK-1831-13 & 14, to support the Office of Security-Based Swaps in various locations.

You will join a respected team that conducts nationwide examinations of entities under the Commission's authority. As a Securities Compliance Examiner, you will apply the Securities Exchange Act of 1934, perform examinations or audits of securities-related entities, and analyze data using SQL and

Qualifications

• Interpreting and applying the Securities Exchange Act of 1934 and related rules.
• Performing examinations, investigations, audits or internal reviews of securities-related entities.
• Analyzing financial, operational, or securities data with SQL/Excel.

Skills

Regulatory interpretation

Examinations & audits

Financial data analysis

Tools

SQL

Oracle

Excel

Job description

The Division of Examinations is seeking Securities Compliance Examiner, SK-1831-13 & 14 in the Office of Security-Based Swaps in various locations.

As a Securities Compliance Examiner, you will join a well-respected team that is responsible for supporting EXAMS' mission to conduct and coordinate the nationwide examination program for entities over which the Commission has regulatory authority.

Applicants are responsible for confirming all required materials are submitted by the closing date of the announcement. Please check the How You Will Be Evaluated and Required Documents sections carefully, as missing documents will render the application incomplete and ineligible for review.

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 (e.g., Peace Corps, AmeriCorps) and other organizations (e.g., professional, philanthropic, religious, spiritual, community, student, social). Volunteer work helps build critical competencies, knowledge, and skills and can provide valuable training and experience that translates directly to paid employment. You will receive credit for all qualifying experience, including volunteer experience. All qualification requirements must be met by the closing date of this announcement.

MINIMUM QUALIFICATION REQUIREMENT:

SK-13:

1. Interpreting and applying the provisions of the Securities Exchange Act of 1934 and any related rules and regulations and/or other federal securities rules; AND
2. Performing examinations, investigations, audits or internal compliance reviews of securities-related financial institutions such as broker-dealers, municipal advisors, national securities exchanges, transfer agents, investment advisers, investment companies, or clearing agencies; AND
3. Analyzing financial, operational, or securities industry data using a relational database management system (e.g. SQL, Oracle) or through advanced skills with spreadsheets such as Microsoft Excel.

SK-14:

1. Interpreting and applying the provisions of the Securities Exchange Act of 1934 and any related rules and regulations and/or other federal securities rules; AND
2. Engaging in or regulating derivatives markets or their operations; AND
3. Performing examinations, investigations, audits or internal reviews that included assessment of valuation, trading, risk, documentation, or clearance of derivatives.

ACCOMPLISHMENT RECORD COMPETENCIES:

• Competency 1: Examwork: Effectively conducts examwork activities (whether onsite, correspondence, etc.) in a professional manner to procure information from an entity under examination.
• Competency 2: Analysis and Risk Assessment: Analyzes information to assess an entity's level of risk for deficiencies in various focus areas.
• Competency 3: Critical Thinking: Considers a variety of factors, general and subject matter-specific, when making decisions and determining next steps in a case.
• Competency 4: Teamwork and Collaboration: Interacts with internal and external others in a manner that advances examinations and agency goals and objectives.