The Office of Security-Based Swaps within the Division of Examinations is filling one position for a Securities Compliance Examiner, SK-1831-16 in one of the following locations: Chicago, IL or New York, NY or Washington, DC.
he Division of Examinations conducts the SEC's National Exam Program. The Division's mission is to protect investors, ensure market integrity and support responsible capital formation through risk-focused strategies that: (1) improve compliance; (2) prevent fraud; (3) monitor risk; and (4) inform policy. The results of the Division's examinations are used by the SEC to inform rule-making initiatives, identify and monitor risks, improve industry practices and pursue misconduct.
If selected, 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.
As a Securities Compliance Examiner you will:
Assist the Assistant Director and SBS Joint Venture co-lead with overseeing the implementation plan of the working group for Title VII, providing technical supervision necessary for accomplishing the work of the joint venture;
Assist the Assistant Director and SBS Joint Venture co-lead with designing, developing, and maintaining a best-in-class SBS examination and monitoring program;
Facilitate and maintain relationships with other EXAMS programs, Division of Trading and Markets (TM), Division of Enforcement (ENF), Office of International Affairs (OIA), and Office of the Chief Data Officer (CDO) and other securities regulators on matters involving Title VII implementation, generally;
Represent the agency on inter-agency councils, international committees and working groups and/or government-industry teams; and
Assist with planning and facilitating program-related activities, including program strategic planning. Review and evaluate organizational activities and advise the Assistant Director and senior management regarding the accomplishments and evaluation of program goals.
Occasional travel - Travel averages 5 days a month.
Conditions of Employment
You must be a US Citizen.
Application procedures are specific to this vacancy announcement. Please read all the instructions carefully. Failure to follow the instructions may result in you not being considered for this position.
All qualification requirements must be met by the closing date of this announcement.
Qualifying experience may be obtained in the private or public sector. Experience refers to paid and unpaid experience, including volunteer work done through National Service programs (e.g., Peace Corps, AmeriCorps) and other organizations (e.g., professional; philanthropic; religious; spiritual; community, student, social). Volunteer work helps build critical competencies, knowledge, and skills and can provide valuable training and experience that translates directly to paid employment. You will receive credit for all qualifying experience, including volunteer experience.
MINIMUM QUALIFICATION REQUIREMENT: SK-16: Applicant must have at least one year of specialized experience equivalent to the GS/SK-14 level performing one of the following functions:
Performing or regulating derivatives operations; OR
Performing examinations, investigations, audits or internal reviews that included significant assessment of valuation, trading, documentation, or clearance of derivatives; OR
Developing or implementing compliance programs, internal controls or risk frameworks related to derivatives activity.
Additional Salary Information: Learn more about our compensation and benefits offering here:
Internal Number: 21-DE-11092286-CSS
About U.S. Securities and Exchange Commission
The SEC is a bipartisan Commission consisting of up to five Commissioners appointed by the President and confirmed by the Senate. The President designates one Commissioner to serve as Chairman of the Commission. The SEC’s mission is to protect investors; maintain fair, orderly, and efficient markets; and facilitate capital formation. Accordingly, as outlined in the SEC’s Strategic Plan, the SEC’s goals are to focus on the long-term interests of our Main Street investors; recognize significant developments and trends in our evolving capital markets and adjust our efforts to ensure we are effectively allocating our resources; and elevate the agency’s performance by enhancing our analytical capabilities and human capital development. The SEC oversees the nation’s securities markets and certain market participants, including broker-dealers, investment companies, investment advisers, clearing agencies, transfer agents, credit rating agencies, and securities exchanges, as well as organizations such as the Financial Industry Regulatory Authority, Municipal Securities Rulemaking Board, and the Public Company Accounting Oversight Board. The agency’s functional responsibilities are carried o...ut through five divisions and 25 offices, each of which is headquartered in Washington, DC. The SEC also has 11 regional offices located throughout the country.
The SEC is considered a mid-sized federal agency, with 4,350 employees at the start of FY20. The SEC offers a competitive compensation and benefits package. In additional to standard federal benefits (i.e., escalating annual and sick leave, shared premiums for health, dental, vision, and life Insurance), we offer additional benefits related to child and elder care support, student loan repayment, generous retirement matching, transportation subsidy and many more benefits to support employee growth and development in our workforce.