SUPERVISORY SECURITIES COMPLIANCE EXAMINER

US Government Other Agencies and Independent Organizations • Philadelphia, PA

351d • $151,656 - $261,769

About The Position

The Division of Examinations - Philadelphia Regional Office is filling one position for a Supervisory Securities Compliance Examiner, SK-1831-15 in Philadelphia, PA. The mission of the Division of Examinations is to protect investors, ensure market integrity and support responsible capital formation through risk-focused strategies that improve compliance, prevent fraud, monitor risk, and inform policy. As a Supervisory Securities Compliance Examiner, you will direct employees responsible for conducting examinations, oversee inspections regarding surveillance and risk management of various financial entities, and provide expert analysis related to federal securities law requirements.

Requirements

• Must be a US Citizen.
• At least one year of specialized experience equivalent to the GS/SK-13 level in auditing, examining, or investigating principles, techniques, and practices.
• Experience in preparing reports of findings and/or leading teams of staff with varying backgrounds.

Responsibilities

• 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.
• 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.

Benefits

• Comprehensive benefits package including health insurance, retirement plans, and paid leave.

What This Job Offers

• Job Type: Full-time
• Career Level: Manager
• Industry: National Security and International Affairs
• Education Level: No Education Listed
• Number of Employees: 5,001-10,000 employees