SUPERVISORY SECURITIES COMPLIANCE EXAMINER
4 days ago
At the Securities and Exchange Commission (SEC), we are committed to div.....
At the Securities and Exchange Commission (SEC), we are committed to diversity, equity, inclusion and accessibility (DEIA) and value a workforce that reflects the diverse experiences and perspectives of the communities we serve. As such, we welcome applications from qualified individuals of all backgrounds who share our commitment to public service.
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. The results of the Division's examinations are used by the SEC to inform rule-making initiatives, identify and monitor risks, improve industry practices and pursue misconduct.
If selected, you will join a well-respected team that is responsible for supporting EXAMS' mission to conduct and coordinate the nationwide examination program for entities over which the Commission has regulatory authority.
As a Supervisory Securities Compliance Examiner, you will:
- Direct employees responsible for working and/or consulting with a variety of individuals conducting examinations;
- Operate or oversee inspections in regards to surveillance and/or risk management of broker-dealers, investment advisers, investment companies, municipal advisors, transfer agents and clearing agencies;
- Serve as a member of an examination team in an audit or examination program of a federal, state or regulatory body in the securities or financial services industry;
- Assist in the planning for and conducting of examinations of self-regulatory organizations, broker-dealers, investment advisers, investment companies, municipal advisors, transfer agents and clearing agencies; and
- Provide expert analysis and review of activities related to the federal securities law requirements applicable to broker-dealer, investment advisers, investment companies, municipal advisors, transfer agents and clearing agencies.
Starting at $145,639 Per Year (SK 15)
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