SECURITIES COMPLIANCE EXAMINER Job in Denver, Colorado – Other Agencies and Independent Organizations

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The United States government is a massive employer, and is always looking for qualified candidates to fill a wide variety of open employment positions in locations across the country. Below you’ll find a Qualification Summary for an active, open job listing from the Other Agencies and Independent Organizations. The opening is for a SECURITIES COMPLIANCE EXAMINER in Denver, Colorado Feel free to browse this and any other job listings and reach out to us with any questions!

SECURITIES COMPLIANCE EXAMINER – Denver, Colorado
Securities and Exchange Commission, Other Agencies and Independent Organizations
Job ID: 478785
Start Date: 07/07/2021
End Date: 07/21/2021

Qualification Summary
All qualification requirements must be met by the closing date of this announcement. SK-12: Time-in-grade for this announcement is one year at the GS/SK-11 level.
SK-13: Time-in-grade for this announcement is one year at the GS/SK-12 level. 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-12: Applicant must possess at least one year of specialized experience equivalent to at least the GS/SK-11 level performing at least two of the following functions: Participating in examinations, investigations, audits or internal compliance reviews of securities-related financial institutions such as investment advisers, investment companies, broker-dealers, clearing agencies, or transfer agents; Assisting in the adoption, implementation, review or testing of policies and procedures, internal controls or internal risk management programs; Assisting in the preparation or analysis of financial, operational, or securities industry data, or the preparation or filing of regulatory reports; Assisting with the review of contracts and/or service providers for securities-related financial institutions to assess compliance with federal securities laws or internal policies and procedures; Participating in securities issuance or trading, portfolio management, or investment advice/analysis/management of securities; or Researching, interpreting and/or applying the provisions of the Investment Advisers Act of 1940, Investment Company Act of 1940, Securities Act of 1933, Securities Exchange Act of 1934, implementing regulations thereunder, and/or any other federal securities laws. SK-13: Applicant must possess at least one year of specialized experience equivalent to at least the GS/SK-12 level performing at least three of the following functions: Performing examinations, investigations, audits or internal compliance reviews of securities-related financial institutions such as investment advisers, investment companies, broker-dealers, clearing agencies, or transfer agents; Developing or implementing assessments of internal controls or internal risk management programs (such as enterprise or operational risk management); Analyzing financial, operational, or securities industry data or the preparation or filing of regulatory reports; Performing reviews of contracts and/or service providers for securities-related financial institutions to assess compliance with federal securities laws or internal policies and procedures; Engaging in securities issuance, trading, portfolio management, or investment advice/analysis/management of securities; or Interpreting and applying the provisions of the Investment Advisers Act of 1940, the Investment Company Act of 1940, the Securities Act of 1933, the Securities Exchange Act of 1934, implementing regulations thereunder, and/or any other federal securities laws.

If you’d like to submit a resume or apply for this position, please contact Premier Veterans at abjobs@premierveterans.com. All are free to apply!

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