Securities Compliance Examiner

Location
United States - several states
Salary
$138,791 - $246,900
Posted
15 May 2019
Closes
28 May 2019
Position/Level
Professional / Specialist
Responsibilities
Accounting, Finance, Risk / Compliance
Contract Type
Permanent
Language
English

If selected, you will join a well-respected team that is responsible for providing expert advice and counsel to enforcement staff on asset management issues, especially in the areas of portfolio management, fund governance, fund operations, and/or valuations.

Responsibilities:

  • Provide expert advice and serve as a primary consultant to enforcement staff on asset management issues, especially in the areas of portfolio management, investment adviser operations, and valuation.
  • Provide expert advice and serve as a primary consultant to enforcement staff on asset management issues, especially in the areas of portfolio management, investment adviser operations, and valuation.
  • Prepare authoritative written reports, including evaluative commentaries, on issues relating to separately managed accounts (including retail investors), registered investment companies (including mutual funds and ETFs), and/or private funds.
  • Monitor developments in the asset management industry, and provide expertise and insight as to potential risks and impact.
  • Participate in enforcement investigations and litigation, to include witness interviews, testimony, and trials, involving investment managers and advisers, separately managed accounts, mutual funds, investment companies, and/or private funds.
  • Support enforcement staff in carrying out high-level, high-visibility, and sensitive assignments, and in developing and conducting communications with other securities regulators.

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.
  • Supplementary vacancies may be filled in addition to the number stated in this announcement.
  • This position has promotion potential to the SK-16.
  • Probationary Period: This appointment may require completion of a one-year probationary period.
  • Security Clearance: Entrance on duty is contingent upon completion of a pre-employment security investigation. Favorable results on a Background Investigation may be a condition of employment or selection to another position.
  • Drug Testing: This position may be subjected to drug testing requirements.
  • Permanent Change of Station (PCS): Moving/Relocation expenses are not authorized.
  • Direct Deposit: All Federal employees are required to have Federal salary payments made by direct deposit to a financial institution of their choosing.
  • This position is in the collective bargaining unit.

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. Additional qualifications information can be found here.

Minimum Qualification Requirement:

SK-16: Applicant must have at least one year of specialized experience equivalent to the GS/SK-14 level: serving as an investment adviser to registered investment companies (including mutual funds and exchange traded funds) or private funds (including hedge funds or private equity funds) and experience in portfolio management, risk management, fund governance, fund operations, and/or valuation.

Atlanta: $138,791 - $228,798
Boston: $147,497 - $243,149
Chicago: $146,105 - $240,854
Denver: $144,108 - $237,563
Fort Worth: $141,724 - $233,632
Los Angeles: $150,007 - $246,900
San Francisco: $160,139 - $246,900
Philadelphia: $142,967 - $235,682
New York, New York $151,821 - $246,900
Washington, District of Columbia $147,554 - $243,243