The Division of Examinations is seeking a early career Staff Accountant, SK-0510-09/11 in the Office of Broker-Dealers (BDX), Office of FINRA and Securities Industry Oversight (FSIO), Office of Investment Advisers andInvestment Companies (IA/IC), Office of Clearance Settlement (OCS) and Private Funds Unit (PFU) in various locations.
The mission of the Division of Examinations is to protect investors, ensure market integrity and support responsible capital formation through risk-focused strategies that: (1) improve compliance; (2) prevent fraud; (3) monitor risk; and (4) inform policy.
This role as a Staff Accountant, 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 registered self-regulatory organizations, investment companies, investment advisers, broker-dealers, transfer agents, and clearing agencies;
Evaluating possible risks to investors and the financial markets of registered securities-related financial institutions' 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 financial institution's operations and procedures, sales practices, supervisory systems, books and records, and financial statements, (ii) reviewing investigatory complaints, (iii) investigating new financial products, (iv) examining specialized securities, (v) interviewing principals of registrants, and/or (vi) analyzing performance calculations to assess the level of compliance with federal securities laws and/or self-regulatory requirements; AND
Developing recommendations and reports, presenting and defending findings, and collaborating as required with legal staff.
