The Division of Examinations is seeking skilled candidates to serve as a Securities Compliance Examiner to perform examinations and duties involving the crypto asset market. This position is located at SEC offices throughout the country.

Duties

At the 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. 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. This position is in the Technology Controls Program (TCP) within the Division of Examinations and will be located in one of the following locations: Atlanta, GA, Boston, MA, Chicago, IL, Denver, CO, Ft. Worth, TX, Los Angeles, CA, Miami, FL, New York, NY, Philadelphia, PA, Salt Lake City, UT, San Francisco, CA or Washington, DC. As a Securities Compliance Examiner, you will: Serve as a subject matter expert on issues relevant to crypto assets and emerging technology as a member of an exam team; Provide analysis and advice on nationwide examination program issues related to crypto assets and emerging technology; Work as a member of a team of examiners with various levels of experience and professional backgrounds to conduct examinations of SEC registrants such as investment companies, investment advisers, broker-dealers, transfer agents, and municipal advisors. Evaluate possible risks to investors and the financial markets of SEC registrants 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. Execute risk-based examination plans, which frequently involves: (i) analyzing a entities' 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. Develop recommendations and reports, presenting and defending findings, and collaborating as required with legal staff. Devise examination techniques for uncovering problems and probing areas that might be susceptible to abuses related to crypto assets and emerging technology; and Review and analyze industry trends, operations, and new products related to crypto assets and emerging technology.

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-14.
• 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. 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-13: Applicant must have at least one year of specialized experience equivalent to the GS/SK-12 level analyzing issues related to the crypto assets industry including portfolio management, risk management, trading fund governance, fund operations, and/or valuations. In addition, I have experience in at least one of the following areas: Working with blockchain/distributed ledger technology (DLT) and/or crypto assets, including using at least one of the following: relevant programming languages, tools and blockchain platforms, architecture, applications and dApps, and data analytics; OR Analyzing industry trends and tools related to crypto assets, distributed ledger technology, blockchain technology, or smart contracts; OR Researching crypto asset funds, advisers, platforms or other related crypto asset businesses; OR Developing and implementing assessments of internal controls or internal risk management programs (such as enterprise or operational risk management) for firms in the crypto assets industry; OR Performing reviews of procedures, practices, or records related to the issuance, distribution, and/or trading of crypto assets; OR Engaging in trading, portfolio management, or investment management or performing investment analysis, or management of crypto assets. SK-14: Applicant must have at least one year of specialized experience equivalent to the GS/SK-13 level analyzing issues related to the crypto assets industry including portfolio management, risk management, trading fund governance, fund operations, and/or valuations. In addition, I have experience in at least two of the following areas: Working with blockchain/distributed ledger technology (DLT) and/or crypto assets, including using at least one of the following: relevant programming languages, tools and blockchain platforms, architecture, applications and dApps, and data analytics; OR Analyzing industry trends and tools related to crypto assets, distributed ledger technology, blockchain technology, or smart contracts; OR Researching crypto asset funds, advisers, platforms or other related crypto asset businesses; OR Developing and implementing assessments of internal controls or internal risk management programs (such as enterprise or operational risk management) for firms in the crypto assets industry; OR Performing reviews of procedures, practices, or records related to the issuance, distribution, and/or trading of crypto assets; OR Engaging in trading, portfolio management, or investment management or performing investment analysis, or management of crypto assets.

Contacts

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