Exam Manager

Securities and Exchange Commission; Los Angeles (CA); On-site; USD 150,000 - 292,000; Full time

Job summary

Securities and Exchange Commission in Los Angeles, CA seeks a Supervisory Attorney-Adviser (Exam Manager) to lead examination teams and develop risk-based strategies across investment advisers and companies. You will direct staff, prepare senior-level reports, and oversee examinations to ensure compliance with federal securities laws.

The role requires strong leadership, deep regulatory knowledge, and the ability to coordinate with federal and state authorities to protect investors and support

Qualifications

• You must provide transcripts or other documentation to support your educational claims.
• Qualifying education must be from an accredited college or university recognized by the U.S. Department of Education.
• Foreign education must be evaluated by a private organization that specializes in interpretation of foreign education programs.

Responsibilities

• Directs employees responsible for working with various individuals in legislated programs and produces well-constructed reports and presentations.
• Serves as a supervisor of examination teams in audits or examinations of federal, state, or regulatory bodies within securities or financial services.
• Oversees examinations related to investment companies, investment advisers, broker-dealers, SROs, clearing agencies, municipal advisors, and transfer agents to determine compliance with securities laws.

Job description

• Hiring Agency: Securities and Exchange Commission
• Department: Other Agencies and Independent Organizations

The Division of Examinations is seeking a Supervisory Attorney-Adviser (Exam Manager), SK-0905-15 in the Office of Investment Advisers and Investment Companies (IA/IC), As an Exam Manager, 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.

Key Responsibilities

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.

In this role as an Exam Manager, you will be responsible for: Directing employees responsible for working and/or consulting with a variety of individuals in the conduct of legislated programs; Producing well-constructed written reports and presentations whose audience includes senior staff from across the Division and the SEC; Serving 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; Operating or overseeing examinations based on the surveillance 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; Assigning work, taking into account skills and abilities of the staff and monitoring work performance; Providing 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 Assisting and leading in developing or enhancing existing tools, data sets and applications that assist the Division in executing its risk-based examination approach.

Requirements & Education

You MUST provide transcripts or other documentation to support your educational claims. Unless otherwise stated: (1) official or unofficial transcripts are acceptable, or (2) you may submit a list with all your courses, grades, semester, year, and credit for the course. If you are qualifying for this position by substituting education or training for experience, you must submit a copy of your unofficial transcripts or equivalent by the closing date of the announcement.

Qualifying education must have been obtained from an accredited college or university recognized by the U.S. Department of Education. Internal Applicants: OHR will verify education qualifications for internal applicants using documents in the Electronic Official Personnel Folder (eOPF). If required transcripts or certificates are not present in your eOPF, you will be required to provide them to OHR.

If selected, a start date will not be established until official transcripts are received. FOREIGN EDUCATION: If you are using education completed in foreign colleges or universities to meet the qualification requirements, you must show the education credentials have been evaluated by a private organization that specializes in interpretation of foreign education programs. For more information, click here.

Applicants may also find the following helpful: National Association of Credential Evaluation Services (NACES) is an association of 19 credential evaluation services with admission standards and an enforced code of good practice. Association of International Credentials Evaluators (AICE) is an association of 10 credential evaluation services with a board of advisors and an enforced code of ethics.

Which agency is hiring for this position?

This position is with Securities and Exchange Commission, Other Agencies and Independent Organizations.

What is the salary for this position?

The posted pay range is $150009 – $292300/yr.

What security clearance is required?

This position requires a Other security clearance.

What is the application deadline?

Applications close on 2026-11-06.

Who is eligible to apply?

This position is open under the 'Fed Internal Search' hiring path.