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Supervisory Securities Compliance Examiner

Securities and Exchange Commission | Philadelphia, PA

Posted Date 1/14/2025
Description The Office of Risk and Strategy (ORS) within the Division of Examinations is hiring a Supervisory Securities Compliance Examiner in Atlanta, GA, Boston, MA, Chicago, IL, Denver, CO, Fort Worth, TX, Los Angeles, CA, Miami, FL, New York, NY, Philadelphia, PA, San Francisco, CA, or Washington, DC. This position will oversee an office responsible for research, reporting, risk identification and data and analytical projects.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.

If selected, you will join a well-respected team that is responsible for risk identification, data and analytical projects - both created within the Office of Intelligence and Research and as part of larger Commission-wide work streams with internally created and commercially available products.

As a Supervisory Securities Compliance Examiner, you will:
  • Direct employees responsible for working and/or consulting with a variety of individuals in the conduct of legislated programs;
  • Produce well-constructed written reports and presentations whose audience includes senior staff from across the Division and the SEC;
  • Serve as a member or supervisor of an examination team in an audit or examination program of a federal, state or regulatory body in the securities or financial services industry;
  • Operate or oversee examinations based on research, analysis, or assessment of investment companies, investments advisers, broker dealer, SROs, clearing agencies, municipal advisors, and transfer agents and their associated persons to determine level of compliance with federal/state securities laws and regulations;
  • Assign work, taking into account skills and abilities of the staff and monitoring work performance;
  • Provide expert analysis and review of activities related to the federal securities law requirements for investment companies/investments advisers, broker dealer, SROs, clearing agencies, municipal advisors, and transfer agents and their associated persons; and
  • Assist and lead in developing or enhancing existing tools, data sets and applications that assist the Division in executing its risk-based examination approach.
All qualification requirements must be met by the closing date of this announcement.

Time-in-grade for this announcement is one year at the GS/SK-13 level.

Qualifying experience may be obtained in the private or public sector. Experience refers to paid and unpaid experience, including volunteer work done through National Service programs (e.g., Peace Corps, AmeriCorps) and other organizations (e.g., professional; philanthropic; religious; spiritual; community, student, social). Volunteer work helps build critical competencies, knowledge, and skills and can provide valuable training and experience that translates directly to paid employment. You will receive credit for all qualifying experience, including volunteer experience.


MINIMUM QUALIFICATION REQUIREMENT:
SK-15: Applicant must have at least one year of specialized experience equivalent to the GS/SK-13 level:
  1. Auditing, examining, or investigating principles, techniques, and practices that involve the review and evaluation of procedures, records and practices of investment advisers; investment companies; broker-dealers; transfer agents; exchanges; clearing agencies; and/or other registered entities; AND
  2. Preparing reports of findings; and/or leading teams of staff with varying backgrounds (e.g., legal, accounting, examining) and experience; AND
  3. Identifying emerging risks and issues affecting financial institutions, market intermediaries, and participants and producing written reports.
This job does not have an education qualification requirement.
Salary145,639.00 - 284,600.00 Annual

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