JOB: Securities Compliance Examiner (Market Abuse) with the SEC, multiple locations

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    Alicia Mazzara

    Job Title: Securities Compliance Examiner (Market Abuse)
    Agency: Securities & Exchange Commission
    Job Announcement Number: 11-494677-SB

    SALARY RANGE: $101,965.00 – $159,663.00 /year
    OPEN PERIOD: Friday, June 24, 2011 to Tuesday, July 05, 2011
    SERIES & GRADE: SK-1831-16
    POSITION INFORMATION: Full Time Term NTE 2 years
    DUTY LOCATIONS: Multiple duty locations – click here for more info
    WHO MAY BE CONSIDERED: United States Citizens


    Do you want to perform challenging work in a collegial environment, while enjoying quality of life and a competitive compensation package? Invest in your career at the U.S. Securities and Exchange Commission (SEC)!

    The SEC’s mission is to protect investors, maintain fair, orderly, and efficient markets, and facilitate capital formation. The agency seeks high-caliber professionals who share the same values of integrity, fairness, accountability, resourcefulness, teamwork, and commitment to excellence.

    The SEC offers a number of enhanced pay and benefits plus the standard Federal benefits: paid dental insurance and vision insurance; Student Loan Repayment; increased agency subsidy for health insurance which supplements your health benefits premiums by $25 for self-only coverage, and $50 for family coverage; and mass transportation subsidy up to $230 per month.

    To find out more, go to

    This position is located in the Division of Enforcement’s Market Abuse Unit. The Division of Enforcement assists the Commission in executing its law enforcement functions by, among other things, conducting investigations of possible violations of the federal securities laws, making recommendations to the Commission concerning enforcement actions and initiating and conducting administrative proceedings and civil actions arising out of its investigations.

    The principal functions of the Market Abuse Unit include developing and maintaining significant specialized knowledge and expertise in the identification and investigation of large-scale abusive market practices by investment banks, broker dealers, institutional investors and market professionals associated with them. The Unit conducts investigations into complex frauds and abuses, including suspected large-scale insider trading networks and rings, systemic and platform-driven trading violations, large cap market manipulations, abusive short selling, front running, best execution failures, order routing abuses, abusive high-frequency and momentum trading, layering, spoofing, collusive trading, trading account intrusions, systemic regulatory violations, internal control violations and other abusive market conduct. The Market Abuse Unit operates on a nationwide basis, exercises the full range of the Division’s investigative and law enforcement powers and works frequently with criminal law enforcement authorities.

    Salary Ranges

    New York, NY: $133,309 – $208,743

    Philadelphia, PA: $124,183 – $194,454

    Washington, DC: $126,661 – $198,333

    Boston, MA: $131,810 – $206,396

    Chicago, IL: $128,048 – $200,505

    Denver, CO: $123,082 – $192,729

    San Francisco, CA: $134,002 – $209,829

    Los Angeles, CA: $130,903 – $204,975

    This term appointment will be for an initial 2-year period with a possible non-competitive extension for an additional 2 years.

    Occasional travel is required.


    * Applicants must be U.S. Citizen.


    As a member of the Market Abuse Unit, the incumbent will:

    • Develop and test market abuse hypotheses.
    • Design and develop new procedures and methodologies for detecting and investigating market abuses.
    • Provide insight and advice in connection with identifying hard-to-detect trading violations, abusive practices, regulatory weaknesses and compliance violations.
    • Provide expert advice and counsel on issues relevant to the identification and investigation of market and trading abuses, including insider trading and manipulation, large scale abusive market practices by institutions and market professionals, systemic regulatory violations, internal control violations, and other system-based or platform-driven trading abuses.
    • Serve as primary consultant to unit staff on industry issues and trends that merit special evaluation by the SEC.
    • Conduct, direct or participate in difficult and sensitive inquiries that are broad in scope with entities engaged in complex schemes, novel investment strategies or innovative trading practices.
    • Develop, maintain and disseminate expertise, insights and understanding of developments in areas related to trading and market abuses.
    • Populate the SEC/Unit Knowledge Base with expert insight that continuously shapes investigative strategies and tactics.
    • Train investigative staff on potential abuses associated with securities trading practices.
    • Participate in industry conferences and otherwise communicate with market participants to keep abreast of new trading strategies.
    • Identify, deploy, and/or enhance tools and technologies that improve SEC/Unit detection and investigation processes and staff collaboration.

    For more information, see

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