The Broker-Dealer and Exchange Examination Program within the Division of Examinations is hiring two Securities Compliance Examiner - Risk Strategists. This position is responsible for conducting risk analysis and analytical studies of broker-dealers, exchanges, and transfer agents.

Duties

At the Securities and Exchange Commission (SEC), we are committed to diversity, equity, inclusion and accessibility (DEIA) and value a workforce that reflects the diverse experiences and perspectives of the communities we serve. As such, we welcome applications from qualified individuals of all backgrounds who share our commitment to public service. These positions are in the Broker-Dealer and Exchange Examination Program (BDX) within the Division of Examinations. One position will be located in New York, NY and one will be in Washington, DC. 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. The results of the Division's examinations are used by the SEC to inform rule-making initiatives, identify and monitor risks, improve industry practices and pursue misconduct. If selected, 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. Typical Duties: Provides expert advice and assistance to senior managers and teams conducting examinations, oversight inspections, compliance enforcement, and investigations. Participates in the planning, conducting, and defining the scope of examinations and investigations; Applies extensive knowledge of securities compliance examinations in the conduct of risk analysis of entities being (or potentially being) examined by the agency; monitors risks by utilizing information from a wide range of tools and methods including expansive databases, models, algorithms, and industry publications and experts; and analyzes and evaluates data, identifying trends, concerns, and examinations scheduling implications; As an expert resource working with senior management and staff in BDX, develops and maintains periodic examination plans in addition to monitoring updates and changes to such plans and changes in the population of registrants; conducts surveillance activities on entities identified as higher risk; establishes risk-based selection methodologies; identifies factors for selection entities for risk-based cyclical examinations; analyzes and evaluates tips and complaints; develops strategic examination plans; and monitors program progress toward goals; Plans, organizes, and carries through to completion analytical studies and special projects of a breath and intensity requiring subject matter expertise and in-depth knowledge of the assigned area as well as the most recent and novel trends in the industry; Conducts reviews and surveillance of closed examinations utilizing agency databases to ensure that examinations are completed expeditiously and properly documented, identify trends, and provide analysis and recommendations to senior management and examination managers; Provides advice and assistance for the most complex and difficult examination and enforcement cases undertaken by the Division. Maintains industry contacts to identify emerging risks and the development of new products and business methods. Identifies, analyzes, and provides guidance on unique and novel issues, financing, and business structures associated with investigations of violations of the various securities laws, rules, and regulations.

Requirements

• You must be a US Citizen.
• Application procedures are specific to this vacancy announcement. Please read all the instructions carefully. Failure to follow the instructions may result in you not being considered for this position.
• Supplementary vacancies may be filled in addition to the number stated in this announcement.
• This position has promotion potential to the SK-16.
• PROBATIONARY PERIOD: This appointment may require completion of a one-year probationary period.
• SECURITY CLEARANCE: Entrance on duty is contingent upon completion of a pre-employment security investigation. Favorable results on a Background Investigation may be a condition of employment or selection to another position.
• DRUG TESTING: This position may be subjected to drug testing requirements.
• PERMANENT CHANGE OF STATION (PCS): Moving/Relocation expenses are not authorized.
• DIRECT DEPOSIT: All Federal employees are required to have Federal salary payments made by direct deposit to a financial institution of their choosing.
• This position is in the collective bargaining unit.
• This position is eligible to request telework in accordance with the SEC 's telework policy.
• Existing Participants in the SEC?s Remote Telework Program are eligible to apply for this position. If selected, management will evaluate and communicate whether the position will allow for continued participation in Remote Telework.
• Typical Examiner Travel: Examination staff routinely travel to the offices of registered entities to conduct on-site inspections of facilities, to meet with and interview entity personnel, and to examine certain business records.

Qualifications

All qualification requirements must be met by the closing date of this announcement. Time-in-grade for this announcement is one year at the GS/SK-14 level. 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. MINIMUM QUALIFICATION REQUIREMENT: SK-16: Applicant must have at least one year of specialized experience equivalent to the GS/SK-14 level: Analyzing data and information to identify emerging risks related to broker-dealers; AND Providing briefings to senior management; AND Developing recommendations and/or reports of findings to address and resolve issues related to broker-dealers.

Contacts

• Address Division of Examinations 100 F Street NE Washington, DC 20549 US
• Name: ask HR
• Email: [email protected]