The Office of Compliance Inspections and Examinations (OCIE) protects investors through administering the SEC's nationwide examination and inspection program.
OCIE's Office of Investment Advisers and Investment Companies (IA/IC)is seeking to fill a Staff Accountant in one of the following locations: Atlanta, GA; Boston, MA, Los Angeles, CA; New York, NY, Philadelphia, PA; San Francisco, CA or Washington, DC.
If selected, you will join a well-respected team as a Staff Accountant in the IA/ICthat is responsible for providing accounting/examining assistance for actions being undertaken by the SEC as well as supporting NEP's mission to conduct and coordinate the nationwide examinations of IAIC Agencies.
Salary Ranges:
Atlanta, GA:
SK-12: $89,002 - $146,377
SK-13: $105,841 - $174,058
SK-14: $121,532 - $199,859
Boston, MA:
SK-12: $94,584 - $155,558
SK-13: $112,480 - $184,976
SK-14: $129,155 - $212,396
Los Angeles, CA:
SK-12: $96,194 - $158,206
SK-13: $114,395 - $188,124
SK-14: $131,353 - $216,010
New York, NY:
SK-12: $97,357 - $160,119
SK-13: $115,778 - $190,400
SK-14: $132,942 - $218,623
Philadelphia, PA:
SK-12: $91,680 - $150,781
SK-13: $109,026 - $179,296
SK-14: $125,188 - $205,873
San Francisco, CA
SK-12: $102,691 - $168,892
SK-13: $122,121 - $200,831
SK-14: $140,225 - $230,601
Washington, DC
SK-12: $94,621 - $155,619
SK-13: $112,524 - $185,048
SK-14: $129,205 - $212,478
Typical Duties Include:
Providing technical assistance and support in one or more of the Office of Compliance Inspections and Examinations' (OCIE) accounting/examining program with emphasis on registered self-regulatory organizations, investment companies, investment advisers, broker-dealers, transfer agents, and clearing agencies, (collectively "registrants");
Planning and conducting examinations, developing reports of findings, communicating verbally in meetings, drafting detailed findings in reports, and providing advice and recommendations for complex clearing agency examinations;
Providing technical advice and assistance in the areas of accounting principles and standards, evaluating internal control processes, performing complex and difficult assignments supporting the mission of the OCIE's program; and
Analyzing complex internal control systems and processes, analyzing the methods used for valuing and accounting for a portfolio of securities, reconstructing records and process flows, analyzing cash-management systems, investigating new financial products, analyzing performance calculations, and/or analyzing risk.
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. Qualifying education must have been obtained from an accredited college or university recognized by the U.S. Department of Education.
MINIMUM QUALIFICATION REQUIREMENT: In addition to meeting the basic requirement listed below in the Education section, applicants must also meet the minimum qualification requirement.
SK-12: Applicant must have at least one year of specialized experience equivalent to the GS/SK-11 level:Specialized experience includes the following below:
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) 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 1 above; AND
Identifying and analyzing accounting or compliance issues at registrants, such as issues with disclosure, recordkeeping, financial reporting, or prohibited activities; AND
Interpreting and applying the provisions of the Investment Advisers Act and/or the Investment Company Act and any related rules and regulations; AND
Performing and facilitating interviews to gather operational data and information from employees and management; AND
Analyzing data gathered through any of the processes listed above.
SK-13: Applicant must have at least one year of specialized experience equivalent to the GS/SK-12 level: Specialized experience includes the following below:
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) 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
Developing recommendations and/or reports of findings to resolve issues; AND
Identifying and analyzing accounting and compliance issues, such as issues with disclosure, recordkeeping, financial reporting, or prohibited activities; AND
Performing and facilitating interviews to gather operational data and information from employees and management; AND
Interpreting and applying the provisions of the Investment Advisers Act and/or the Investment Company Act and any related rules and regulations. Through this experience, I have displayed an up-to-date knowledge and understanding of these regulatory areas; AND
Analyzing and reporting on financial data using a relational database management system or through advanced skills with spreadsheets such as Microsoft Excel.
SK-14: Applicant must have at least one year of specialized experience equivalent to the GS/SK-13 level: Specialized experience includes the following below:
Leading 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) 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
Developing recommendations and/or reports of findings to resolve issues; AND
Conducting briefings for management and/or representing the organization at briefings, meetings or conferences; AND
Identifying and analyzing accounting and compliance issues such as issues with disclosure, recordkeeping, financial reporting, or prohibited activities; AND
Interpreting, applying, and advising on the provisions of the Investment Advisers Act and/or the Investment Company Act and any related rules and regulations; AND
Analyzing and reporting on financial data using a relational database management system or through advanced skills with spreadsheets such as Microsoft Excel.
About U.S. Securities & Exchange Commission
The mission of the SEC is to protect investors, maintain fair, orderly, and efficient markets, and facilitate capital formation. We seek high-caliber professionals who share the same values of integrity, fairness, accountability, resourcefulness, teamwork and commitment to excellence. The SEC offers challenging work in a collegial environment, while enjoying quality of life and a competitive compensation package.
