SECURITIES COMPLIANCE EXAMINER

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: Analyzing data and information to identify emerging risks related to broker-dealers; AND Providing briefings to senior management; AND Developing recommendations and/or reports of findings to address and resolve issues related to broker-dealers.
The Broker-Dealer and Exchange Examination Program within the Division of Examinations is hiring two Securities Compliance Examiner – Risk Strategists. This position is responsible for conducting risk analysis and analytical studies of broker-dealers, exchanges, and transfer agents.