Securities Compliance Examiner

  • $138,524.00 to $237,700.00
  • Boston, MA, USA
  • Permanent, Full time
  • U.S. Securities and Exchange Commission
  • 13 Sep 16

Invest in your Career!

The U.S. Securities and Exchange Commission is looking for the best and brightest to join our team. Our mission includes advocating for investors who seek to secure a future for their family, providing guidance and regulations for the nation’s securities industry in an increasingly global market, and taking action with an eye toward promoting the capital formation necessary to sustain economic growth.

The Office of Compliance Inspections and Examinations ("OCIE") administers the SEC's nationwide examination and inspection program for registered self-regulatory organizations, broker-dealers, transfer agents, clearing agencies, investment companies, and investment advisers. The Compliance Inspections and Examinations program conducts inspections to foster compliance with securities laws, to detect violations, and keep the Commission informed of developments in the regulated community.

This position is in the Private Funds Unit (PFU) within Office of Compliance Inspections and Examinations.  Two selections will be made in either of the following locations: Boston, MA; Chicago, IL; New York, NY or San Francisco, CA.

Salary Ranges:

Boston, MA             - $142,594 - $235,068

Chicago, IL             - $138,524 - $228,358

New York, NY         - $144,215 - $237,700

San Francisco, CA  - $149,742 - $237,700

 

If selected, you will join a well-respected team that is responsible for supporting OCIE's mission to conduct and coordinate the nationwide examination program for entities over which the Commission has regulatory authority.

Typical Duties Include:

  • Serve as a Senior Specialized Examiner and subject matter expert regarding the hedge fund or private equity industry;
  • Conduct, direct and participate as a team member in difficult and sensitive examinations that are broad in scope and may set precedent for future examinations;
  • Serve as a resource for examiners and senior management who encounter issues in examinations of the strategies, governance, compensation practices, investment practices, risk management and compliance practices of hedge funds or private equity funds;
  • Devise risk-based examination techniques for uncovering problems and probing areas that might be susceptible to abuses by hedge fund and private equity advisers and make recommendations regarding the priorities and methodologies of the examination program; and
  • Provide authoritative analysis, guidance and expertise regarding  the hedge fund and private equity industry.