The Office of Investment Advisers and Investment Companies (IA/IC) is seeking to fill a Securities Compliance Examiner in either of the following locations: New York, NY or San Francisco, CA. If selected, you will join a well-respected team that is responsible for providing accounting/examining assistance for actions being undertaken by the SEC, as well as supporting the National Exam Program’s mission to conduct and coordinate the nationwide examinations of Investment Advisers and Investment Companies.
As a Securities Compliance Examiner you will:
- Serve as a subject matter expert on issues relevant to blockchain and/or digital assets as a member of an exam team;
- Provide expert analysis and advice on nationwide examination program issues related to blockchain and/or digital assets;
- Apply advanced techniques to interpret and evaluate findings resulting from analyses;
- Devise examination techniques for uncovering problems and probing areas that might be susceptible to abuses related to blockchain and/or digital assets;
- Make recommendations regarding the priorities and methodologies of the examination program, with a particular focus on blockchain and/or digital assets;
- Apply in depth knowledge and expertise in blockchain and/or digital assets and extensive experience in the practical application of that knowledge;
- Review and analyze industry trends, operations, and new products related to blockchain and/or digital assets; and
- Coordinate with other SEC divisions and offices, including members of the SEC’s FinHub, as well as external stakeholders regarding issues related to blockchain and/or digital assets.
Minimum Qualification Requirement:
SK-16: Applicant must have at least one year of specialized experience equivalent to the GS/SK-14 level. Specialized experience includes: providing technical digital assets industry expertise in portfolio management, risk management, fund governance, compliance fund operations, and/or valuations. In addition, applicants must also possess one of the following:
- Working with Blockchain/distributed ledger technology (DLT), including using relevant programming languages, tools and blockchain platforms, cryptography and hashing algorithms, mining, architecture, applications and dApps, and data analytics; experience should include work on real blockchain projects, performing transactions using blockchains, and programming smart contracts and identifying relationships to other emerging technologies; OR
- Working with Digital asset trading and markets, including experience evaluating digital asset trading platforms, broker-dealers or other digital asset businesses, including technical assessments of digital assets markets and participants; expertise should include evaluating issues concerning market structure, custody, trading, monitoring, reporting, clearance and settlement; OR
- Working with Digital asset private funds, including evaluating digital asset funds, advisers or other related digital asset businesses; expertise should include assessments of fund structures, portfolio management and trading, fund operations, fund due diligence, fund governance and risk management, asset valuation, accounting, compliance and controls, fee structures, conflicts of interest, and third-party service providers.