SUPERVISORY SECURITIES COMPLIANCE EXAMINER

US Government Other Agencies and Independent Organizations • Washington, DC

363d • $145,639 - $284,600

About The Position

The Office of Risk and Strategy (ORS) within the Division of Examinations is hiring a Supervisory Securities Compliance Examiner in various locations including 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. 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, serve as a member or supervisor of an examination team, and assist in developing or enhancing existing tools and applications that assist the Division in executing its risk-based examination approach.

Requirements

• Must be a US Citizen.
• At least one year of specialized experience equivalent to the GS/SK-13 level.
• Experience in auditing, examining, or investigating principles related to investment advisers, investment companies, broker-dealers, and other registered entities.
• Experience in preparing reports of findings and leading teams with varying backgrounds.
• Ability to identify emerging risks and issues affecting financial institutions.

Responsibilities

• 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 for senior staff across the Division and the SEC.
• Serve as a member or supervisor of an examination team in an audit or examination program.
• Operate or oversee examinations based on research, analysis, or assessment of investment companies and associated persons.
• Assign work, taking into account skills and abilities of the staff and monitoring work performance.
• Provide expert analysis and review of activities related to federal securities law requirements.
• Assist and lead in developing or enhancing existing tools, data sets, and applications.

Benefits

• Comprehensive benefits package including health insurance, retirement plans, and paid leave.
• Eligibility for telework as determined by agency policy.

What This Job Offers

• Job Type: Full-time
• Career Level: Manager
• Industry: National Security and International Affairs
• Number of Employees: 5,001-10,000 employees