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    Duties

    Summary

    The Office of Compliance Inspections and Examinations administers the SEC's nationwide examination and inspection program for registered self-regulatory organizations, NRSROs, broker-dealers, transfer agents, clearing agencies, investment companies, and investment advisers.

    Learn more about this agency

    Responsibilities

    This position is in the Event and Emerging Risk Examination Team (EERT) within the Office of Compliance Inspections and Examinations (OCIE), one selection can be made in New York, NY or Washington, DC.

    OCIE's Event and Emerging Risk Examination Team (EERT) is being formed to strategically and proactively engage with financial firms about their preparedness for specific threats and market events. The EERT will also be utilized to quickly mobilize and respond when critical situations materialize.

    As an Staff Accountant (Fellow), you will:

    • Address exigent threats, incidents, and emerging risks through the conduct of examinations and inspections, firm engagement meetings, and monitoring activities;
    • Provide technical assistance and support in one or more of the OCIE accounting/examining programs with emphasis on registered self-regulatory organizations, investment companies, investment advisers, broker-dealers, transfer agents, and clearing agencies, (collectively "registrants");
    • Plan and conduct examinations, developing reports of findings, communicating verbally in meetings, drafting detailed findings in reports, and providing advice and recommendations for complex clearing agency examinations;
    • Provide technical advice and assistance in the areas of accounting principles and standards, evaluating internal control processes, performing complex and difficult assignments supporting the mission of the OCIE's program; and
    • Analyze complex internal control systems and processes, analyzing the methods used for valuing and accounting for a portfolio of securities, reconstructing records and process flows, analyzing cash-management systems, investigating new financial products, analyzing performance calculations, and/or analyzing risk.

    Travel Required

    25% or less - You may be expected to travel more than 25%.

    Supervisory status

    No

    Promotion Potential

    14

  • Job family (Series)

    0510 Accounting

This job originated on www.usajobs.gov. For the full announcement and to apply, visit www.usajobs.gov/GetJob/ViewDetails/568620200. Only resumes submitted according to the instructions on the job announcement listed at www.usajobs.gov will be considered.