The Division of Enforcement investigates possible violations of securities laws, recommends Commission action when appropriate, either in a federal court or before an administrative law judge, and litigates or negotiates settlements.Learn more about this agency
These positions are located in the Division of Enforcement's Office of Market Intelligence (OMI). OMI is responsible for a number of intelligence and analytical programs, including the intake, analysis, and evaluation of thousands of tips, complaints, and referrals (TCRs) and other reports, information, data, and intelligence that the SEC receives each year and referral for potential investigation or other response. This position is in Washington, D.C.
- Analyzes tips, complaints, referrals, suspicious activity reports, and other case leads and information sources to determine and identify credible allegations of potential securities law violations and the applicable regulation or law allegedly violated.
- Analyzes allegations, statements, documents, data, and other materials for relevant facts; prepares written summaries of allegations; and identifies and determines potentially related matters.
- Performs in-depth research of subjects, claims, and events for potential analytic and investigative purposes.
- Collects, compiles, organizes and analyzes related data and information from a variety of internal and external sources and databases for use in the development and assessment of leads and in any resulting investigations or examinations.
- Conducts interviews; consults with other staff, regulators, or law enforcement; analyzes trading data and activity; and utilizes investigatory procedures, tools, and techniques to develop, assess, and/or evaluate a tip, complaint, referral, report, or other lead.
- Determines the quality, accuracy and relevance of information or data, analyzes information to identify relationships and trends, and integrates and synthesizes multiple sources of facts or data to reach reasonable findings and conclusions and identify potential fraud and wrongdoing.
- Prepares written analyses and findings, applies law to facts and evidence, and makes recommendations in regards to the further consideration, assignment, and disposition of TCRs and other leads.
- Prepares memoranda that clearly document and communicate research, interviews, communications, analysis, findings, assessments, recommendations, dispositions, and assignments.
- Provides management and other stakeholders with advice and work products exhibiting knowledge, subject matter expertise, insight, and understanding of relevant law and facts and analysis identifying risks, trends, and other developments.
- Reviews and confirms decisions or recommendations to take no further action (NFA) and/or refer leads and information based on certain criteria, and assigns and allocates leads to agency staff.
- Supports or conducts coordination with and outreach efforts to other agencies; makes and receives case referrals; coordinates or participates in internal and external task forces, initiatives, and other committees.
- Conducts training of staff and contractors; supports the intake, entry, review, and processing of TCRs and other case leads and related information or data.
- Prepares processes, policies and procedures, training materials and job aids, internal and external reports and communications, and presentations. Supports the execution, documentation, and monitoring of operations and risk management activities, and performs other special projects.
- Organizes work, sets priorities, and determines short- or long-term goals and strategies to achieve them. Develops innovative solutions to address issues and problems or involving novel or unexplored questions of law or policy.
This job originated on www.usajobs.gov. For the full announcement and to apply, visit www.usajobs.gov/GetJob/ViewDetails/586225200. Only resumes submitted according to the instructions on the job announcement listed at www.usajobs.gov will be considered.