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    Duties

    Summary

    The Office of Compliance Inspections and Examinations ("OCIE"). OCIE administers the SEC's nationwide examination and inspection program for registered investment advisers, investment companies, broker-dealers, transfer agents, clearing agencies, self-regulatory organizations, and other entities registered with the SEC. The Compliance Inspections and Examinations program conducts inspections to foster compliance with securities laws, to detect violations, and keep the Commission informed of developments in the regulated community. 

    The Securities Compliance Examiner positions are located within the National Examination Program in the following regional offices:

    Boston Regional Office:

    SK-12: $91,442 - $150,389

    SK-13: $108,742 - $178,828

    Chicago Regional Office:

    SK-12: $88,832 - $146,096

    SK-13: $105,638 - $173,724  

    Denver Regional Office:

    SK-12:  $86,957 - $143,013

    SK-13:  $103,409 - $170,058

    Los Angeles Regional Office:

    SK-12:  $90,812 - $149,353

    SK-13:  $107,993 - $177,597

    Philadelphia Regional Office:

    SK-12:  $86,455 - $142,187

    SK-13:  $102,811 - $169,075 

    San Francisco Regional Office:

    SK-12:  $96,025 - $157,927

    SK-13:  $114,193 - $187,792

    Learn more about this agency

    Responsibilities

    If selected, you will join OCIE's National Examination Program in conducting examinations of registered entities, with an emphasis on investment company and investment adviser exams. 

    Typical duties include:

    ·        Participating in examinations and providing technical assistance and support in the National Examination Program of the Office of Compliance  Inspections and Examinations, with an emphasis on examinations of investment advisers, investment companies, broker dealers, and transfer agents.

    ·        Developing recommendations and reports, presenting and defending findings, and as required, collaborating with the legal staff and providing technical support for investigations and litigation of civil matters, administrative proceedings, and criminal prosecutions where there is an emphasis on securities compliance issues.

    ·        Initiating and conducting consultations with the staff of the Compliance Inspections and Examinations program and other divisions and offices on issues which present difficult questions of policy which require review and consultation before being presented for final action.

    ·        Providing technical support to senior examiners developing responses to requests; preparing or reviewing reports involving financial, accounting and policy questions; drafting memoranda, related documents, agreements, and correspondence.

    Travel Required

    25% or less - Travel to examination sites may be required

    Supervisory status

    No

    Promotion Potential

    14

    Who May Apply

    This job is open to…

    United States Citizens

    Questions? This job is open to 1 group.

This job originated on www.usajobs.gov. For the full announcement and to apply, visit www.usajobs.gov/GetJob/ViewDetails/443503700. Only resumes submitted according to the instructions on the job announcement listed at www.usajobs.gov will be considered.