Securities Compliance Examiner

Qualifications

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-12: Applicant must have at least one year of specialized experience equivalent to at least the GS/SK-11 level. Specialized experience includes the following:

Interpreting and applying the provisions of the Investment Advisers Act of 1940, the Investment Company Act of 1940, and/or the Securities Exchange Act of 1934 and related rules and regulations;

AND

Performing at least two of the following functions: (1) Participating in audits, examinations, investigations, or internal compliance reviews of securities-related financial institutions, such as investment advisers, investment companies, broker-dealers, clearing agencies, or transfer agents;(2) assisting with the review of procedures, practices, and records related to the issuance, distribution, and trading of securities; (3) performing investment analysis and/or management of securities; (4) assisting in the adoption, implementation, or testing of internal controls or internal risk management programs (such as cybersecurity risk management) of financial organizations; (5) engaging in securities trading, portfolio management, or investment management; or (6) engaging in back office support functions such as settlements, clearances, record maintenance, accounting, and IT services for securities-related financial institutions; AND

Preparing reports, memoranda, or other documents based on the activities described in choice 2 above;

AND

Identifying and analyzing compliance issues, such as issues with disclosure, record keeping, financial reporting, or prohibited activities; AND

Performing and facilitating interviews to gather operational data and information from employees and management.

SK-13: Applicant must have at least one year of specialized experience equivalent to at least the GS/SK-12 level. Specialized experience includes the following:

Interpreting and applying the provisions of the Investment Advisers Act of 1940, the Investment Company Act of 1940, and/or the Securities Exchange Act of 1934 and related rules and regulations; AND

Performing at least two of the following functions: (1) Examining, auditing investigating or performing internal compliance reviews of securities-related financial institutions such as investment advisers, investment companies, broker-dealers, clearing agencies, or transfer agents; (2) reviewing the procedures, practices, and records related to the issuance, distribution, and trading of securities; (3) performing investment analysis, and/or management of securities; (4) adopting, implementing, or testing of internal controls or internal risk management programs (such as cybersecurity risk management) of financial organizations; (5) engaging in securities trading, portfolio management, or investment management; or (6) engaging in back office support functions such as settlements, clearances, record maintenance, accounting, and IT services for securities-related organizations; AND

Analyzing and reporting on financial and other data gathered through any of the processes listed in choice 2 above using, for example, a relational database management system or through advanced skills with spreadsheets such as Microsoft Excel; AND

Developing recommendations and/or reports of findings to resolve issues based on the activities described in choice 2 above; AND

Identifying and analyzing compliance issues, such as issues with disclosure, record keeping, financial reporting, or prohibited activities; AND

Performing and facilitating interviews to gather operational data and information from employees and management.

Education

This job does not have an education qualification requirement.