Division: Office of Compliance Inspections and Examinations (OCIE)
Position Number: 15-EX-1405351-DQ
Location: Chicago, IL
Compensation: $87,952.00 to $144,649.00 / Per Year
The mission of the U.S. Securities and Exchange Commission (SEC) is to protect investors, maintain fair, orderly, and efficient markets, and facilitate capital formation.
The Office of Compliance Inspections and Examinations (“OCIE”) protects investors through administering the SEC’s nationwide examination and inspection program. Examiners in Washington DC and in the Commission’s 11 regional offices conduct examinations of the nation’s registered entities, including broker-dealers, transfer agents, investment advisers, investment companies, the national securities exchanges, clearing agencies, SROs such as the Financial Industry Regulatory Authority (“FINRA”) and the Municipal Securities Rulemaking Board, and the Public Company Accounting Oversight Board (“PCAOB”). OCIE’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 examination program plays a critical role in encouraging compliance within the securities industry, which in turn also helps to protect investors and the securities markets generally.
Typical duties include:
- Participating and providing technical support in nationwide examination or inspection activities for self-regulatory organizations, broker-dealers, transfer agents, clearing agencies, investment companies, and investment advisers.
- Responding to trends in the market; identifying areas of the market that merit special attention; and developing new inspection/examination procedures and processes.
- Conducting follow-up with the industry to ensure compliance; and serving as a technical resource for the SEC, the securities industry, and the general public.
For important information about this position, including details on duties, qualifications, and how to apply, please visit http://go.usa.gov/3XEm5. You must apply for this position by Monday, June 15, 2015 through www.USAJobs.gov.