Login

Supervisory Securities Compliance Examiner

Securities and Exchange Commission | Philadelphia, PA

Posted Date 1/17/2025
Description

The Division of Examinations - Philadelphia Regional Office is filling one position for a Supervisory Securities Compliance Examiner, SK-1831-15 in Philadelphia, PA.

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, and transfer agents;
  • 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 broker-dealers, investment advisers, investment companies, municipal advisors, and transfer agents; 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, and transfer agents.

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 registered clearing agencies; exchanges; broker-dealers; investment advisers; investment companies; transfer agents; private equity and hedge funds; 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.
This job does not have an education qualification requirement.
Salary151,656.00 - 261,769.00 Annual

Share this job