Job Summary

The Division of Examinations is seeking Securities Compliance Examiners in the Office of Investment Advisers and Investment Companies (IA/IC), Private Funds Unit (PFU) and Office of Clearance Settlement (OCS) 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.

Job Description

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: Applicant must have at least one year of specialized experience equivalent to the GS/SK-12 level: Interpreting and applying the provisions of the Investment Advisers Act and/or the Investment Company Act, Securities Act of 1933, Securities Exchange Act of 1934 and any related rules and regulations and/or other federal securities rules; AND Participating in 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 Performing reviews of procedures, practices, or records related to the issuance, distribution, and/or trading of securities. SK-14: Applicant must have at least one year of specialized experience equivalent to the GS/SK-13 level: Interpreting and applying the provisions of the Investment Advisers Act and/or the Investment Company Act, Securities Act of 1933, Securities Exchange Act of 1934 and any related rules and regulations and/or other federal securities rules; AND 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 Developing and implementing assessments of internal controls or internal risk management programs (such as enterprise or operational risk management). ACCOMPLISHMENT RECORD COMPETENCIES: Your Accomplishment Record narratives should address the following competencies. See the How You Will Be Evaluated section below for more information: 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.