Securities Compliance Examiner

Securities Compliance Examiner

The Office of Security Based Swaps performs examinations of certain market intermediaries such as Security-Based Swap Dealers and Security-Based Swap Execution Facilities to ensure compliance with applicable requirements under the Securities Exchange Act of 1934 and provides subject matter expertise on the security-based swap market and related transactions. In this role as a Securities Compliance Examiner, you will be responsible for:

• Working as a member of a team of examiners with various levels of experience and professional backgrounds to conduct examinations of securities-related financial institutions registered with the SEC such as security-based swap dealers and security-based swap execution facilities, security-based swap data repositories, investment companies, investment advisers, broker-dealers, self-regulatory organizations, transfer agents, and municipal advisors;
• Evaluating possible risks to financial markets and counter parties of registered security-based swap dealers' business models and practices based on review and analysis through modern quantitative techniques, when possible, of information reported by the institutions to the SEC and other internal and external data sources;
• Executing risk-based examination plans, which frequently involves: (i) analyzing a security-based swap dealer's operations and procedures, trading practices, supervisory systems, risk management systems, books and records, and financial statements, (ii) investigating new financial products, (iii) analyzing derivatives, (iv) interviewing principals of registrants, and/or (v) analyzing performance calculations to assess the level of compliance with federal securities laws; and
• Developing recommendations and reports, presenting and defending findings, and collaborating as required with key stakeholders of the examination process, including internal divisions and offices (e.g. Division of Trading and Markets and Office of International Affairs), and other US and foreign regulators.