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    TheOffice of Security-Based Swaps within the Division of Examinations is filling two positions for a Securities Compliance Examiner, SK-1831-12 & 13, in one of the following locations: Chicago, IL or New York, NY or Washington, DC.

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    Join a well-respected team in the Division of Examinations that is responsible for the examination of registered investment companies, investment advisers, broker-dealers, self-regulatory organizations, transfer agents, and municipal advisors.

    Typical duties include:

    • Working as a member of a team of examiners with various levels of experience and professional backgrounds to conduct examinations of securities-related financial institutions registered with the SEC such as investment companies, investment advisers, broker-dealers, self-regulatory organizations, transfer agents, and municipal advisors;
    • Evaluating possible risks to investors and the financial markets-of registered securities-related financial institutions' 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;
    • Executing risk-based examination plans, which frequently involves: (i) analyzing a financial institution's 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; and
    • Developing recommendations and reports, presenting and defending findings, and collaborating as required with legal staff.
    Due to COVID-19, the SEC is currently in a mandatory telework posture through June 25, 2020. If selected, you will be permitted to temporarily telework from a location outside the local commuting area while the SEC remains in a mandatory telework posture. Once employees are permitted to return to the office, you will be expected to report to the duty station listed on this announcement within 60 days. At that time, you will be eligible to request telework in accordance with the SEC 's telework policy.

    Travel Required

    Occasional travel - Travel averages one week or 5 days a month.

    Supervisory status


    Promotion Potential


This job originated on www.usajobs.gov. For the full announcement and to apply, visit www.usajobs.gov/GetJob/ViewDetails/597085400. Only resumes submitted according to the instructions on the job announcement listed at www.usajobs.gov will be considered.