Securities Compliance Examiner Securities Compliance Examiner …

U.S. Securities and Exchange Commission
in New York, NY
Permanent, Full time
Be the first to apply
U.S. Securities and Exchange Commission
in New York, NY
Permanent, Full time
Be the first to apply

This Securities Compliance Examiner, SK-1831-16 position is in the Office of Credit Ratings (OCR) located in New York, NY.

The Office of Credit Ratings (OCR) assists the Commission in executing its responsibility for protecting investors, promoting capital formation, and maintaining fair, orderly, and efficient markets through the oversight of credit rating agencies registered with the Commission as nationally recognized statistical rating organizations or NRSROs.


  • Applying expert level knowledge in the conduct of NRSRO exam areas that have no precedents. Contributing to exams that are broad in scope, such as examining new lines of business or reviewing rating files for complex products.
  • Performing risk assessments utilizing quantitative techniques such as data analytics.
  • Conducting reviews of high profile and sensitive documents, evaluating findings, and formulating conclusions relative to compliance with statutory and regulatory requirements.
  • Planning, organizing, and carrying through to completion analytical studies of a breadth and complexity requiring subject matter expertise and in-depth subject matter knowledge of the assigned area as well as recent and novel industry trends.
  • Providing expert analysis and advice, including policy options, to senior officials.
  • Providing guidance on novel or unique issues in connection with enforcement matters, and coordinating the review of exam records to support referrals to the Division of Enforcement and ongoing enforcement matters.
  • Assisting in developing the technical expertise of staff by participating in exams and providing advice and assistance on methodologies and techniques, including negotiation skills.
  • Conducting and directing special projects involving compliance with significant new rules, market and technology developments, risk management, and other critical areas involving the credit ratings industry.


Conditions of Employment

  • You must be a US Citizen.
  • Application procedures are specific to this vacancy announcement. Please read all the instructions carefully. Failure to follow the instructions may result in you not being considered for this position.
  • Supplementary vacancies may be filled in addition to the number stated in this announcement.
  • This position has promotion potential to the SK-16 level.
  • PROBATIONARY PERIOD: This appointment may require completion of a one-year probationary period.
  • SECURITY CLEARANCE: Entrance on duty is contingent upon completion of a pre-employment security investigation. Favorable results on a Background Investigation may be a condition of employment or selection to another position.
  • DRUG TESTING: This position may be subjected to drug testing requirements.
  • PERMANENT CHANGE OF STATION (PCS): Moving/Relocation expenses are not authorized.
  • DIRECT DEPOSIT: All Federal employees are required to have Federal salary payments made by direct deposit to a financial institution of their choosing.
  • This position is in the collective bargaining unit.
  • Due to COVID-19, the SEC is currently in an optional telework posture. This position is eligible to request telework in accordance with the SEC 's telework policy.
  • All SEC employees (whether teleworking or working onsite) who are not approved for a reasonable accommodation must be fully vaccinated against COVID-19 by no later than Nov. 22, 2021.
  • For information about where to obtain a vaccine at no cost to you, please visit
  • Typical Examiner Travel: Examination staff routinely travel to the offices of registered entities to conduct on-site inspections of facilities, to meet with and interview entity personnel, and to examine certain business records.


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.

: Applicant must have at least one year of specialized experience equivalent to the SK-14 level. Specialized experience have the following below:

  1. Reviewing and evaluating the procedures, practices, and records related to the financial management, structure, operations, and practices of nationally recognized statistical rating organizations (NRSROs); AND
  2. Analyzing corporate (including financial institutions and structured products) and municipal, securities and applying knowledge of operations of entities registered with the Commission, including NRSROs; AND
  3. Identifying and/or evaluating emerging trends in the credit ratings market; AND
  4. Performing and facilitating interviews with entities being examined and preparing analysis and/or reports on those examination findings;AND
  5. Preparing oral presentations and drafting written work product.
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