Securities Compliance Examiner

The Division of Examinations is seeking Securities Compliance Examiners in the Office of Investment Advisers and Investment Companies (IA/IC), Private Funds Unit (PFU) and Office of Clearance Settlement (OCS) in various locations. As a Securities Compliance Examiner, you will join a well-respected team that is responsible for supporting EXAMS' mission to conduct and coordinate the nationwide examination program for entities over which the Commission has regulatory authority.

In this role as a Securities Compliance Examiner, you will be responsible for: Working as a member of a team of examiners with various levels of experience and professional backgrounds to conduct examinations of investment companies and investment advisers. 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.

Provide technical advice and assistance in the areas of accounting principles and standards, evaluate internal control processes, and perform complex and difficult assignments supporting the mission of the Division of Examinations program. Vacancies are in the following EXAMS' programs and duty locations: PFU: All locations IA/IC: Chicago, Fort Worth OCS: New York, Chicago, DC