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The Securities and Exchange Commission is seeking multiple Accountants for our Los Angeles Regional Office, Los Angeles, CA.
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.
The Accountants will:
- Participate in planning and conducting securities compliance examinations, developing reports of findings, and providing advice and recommendations for examinations of broker dealers, investment advisers (including advisers to hedge funds, private equity funds and other private funds), investment companies, and transfer agents.
- Provide advice and technical support for examinations, investigations and enforcement activities and operations such as reviewing financial statements, evaluating financial accounting systems, reconstructing records, reviewing complaints, investigating new financial products, examining specialized securities such as structured products, analyzing performance calculations, analyzing risk, developing surveillance initiatives, developing recommendations and reports, presenting and defending findings, and collaborating with staff from other divisions.
- Conduct research, review and analyze a variety of documents related to securities compliance examinations and market regulation, and develop recommendations to resolve problems or issues encountered in assigned area of specialization/focus. As required, provide assistance and technical support for reviewing new legislation and developing and implementing guidance and assist senior staff in the examination of existing standards and the development of changes or new rules or standards. Work with senior examiners engaged in developing and preparing guidance on a variety of complex issues arising from interpretation and application of statutes administered by the Office.
- Facilitate conferences and interviews with a variety of company personnel concerning operational and examination issues to determine possible regulatory violations. Anticipate enforcement needs and gather evidence to support preliminary findings of violations. Prepare reports of findings as well as correspondence to an entity outlining deficiencies and corrective actions to be taken. Conduct a wide variety of assignments and processes related to the examination of registrants and liaison activities with the regional offices.
- Represent the SEC in meetings with staff of other federal agencies and the securities industry. Respond to inquiries concerning the work of the Office and maintains productive work relationships with federal and state agencies and the industry.
The successful candidate MUST be a US Citizen.
Qualifying experience for:
SK-9 Level: Applicant must have at least one year of specialized experience equivalent to at least the GS/ SK-7 level assisting with the audits, examinations, or investigations of broker dealers, investment advisers (including advisers to hedge funds, private equity funds, and other private funds) , investment companies, and transfer agents, including experience with procedures, practices, and records related to the issuance, distribution, trading, investment analysis, and/or management of securities.
SK-11 Level: Includes one year of specialized experience equivalent to at least the GS/SK-9 level applying auditing, examining and/or investigating principles to review records related to the issuance, distribution or trading of securities while working for broker dealers, investment advisers (including advisers to hedge funds, private equity funds, and other private funds) , investment companies, and transfer agents; product knowledge (including equities, fixed income, municipal securities, investment companies, and derivatives); and assisting with the preparation of reports and review of companies records and procedures; and applying generally-accepted accounting principles (GAAP), generally-accepted auditing standards (GAAS), and the Public Company Accounting Oversight Board (PCAOB) requirements when analyzing, modifying, and adapting conventional accounting and analytical techniques to solve a variety of accounting problems.
SK-12 Level: In addition to the experience required at the SK-11 level above, qualifying experience for the SK-12 level includes one year of specialized experience equivalent to at least the GS/SK-11 level leading audits, examinations, or investigations of the financial management, structure, operations, and practices of broker dealers, investment advisers (including advisers to hedge funds, private equity funds, and other private funds) , investment companies, and transfer agents; and preparing and/or reviewing reports involving accounting and policy issues relative to the securities industry.
SK-13 Level: In addition to the experience required at the SK-12 level above, qualifying experience for the SK-13 level includes one year of specialized experience equivalent to at least the GS/SK-12 level planning and leading complex audit/examination functions using a variety of auditing/examination methods and techniques; applying generally-accepted accounting principles ( GAAP), generally-accepted auditing standards ( GAAS), and the Public Company Accounting Oversight Board (PCAOB) requirements to prepare reports and detailed analytical presentations on complex compliance examination findings.
EDUCATION & EXPERIENCE:
- Generally, applicants must possess a degree in accounting/auditing or related field that included 24 semester hours in accounting (6 hours may be in business law); or, a combination of education and experience. The specific requirements are listed in the assessment questionnaire which is part of the application.
- Official Transcripts or unofficial transcripts (will be accepted) and/or copy of Certified Public Accountant or Certified Internal Auditor certification.
For more information about the position and to apply, please visit our website:
Please use Vacancy Identification Number: 694194 The closing date of this position is: July 19, 2012.
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