Exam Manager, Lead Examinations & Risk Oversight

Securities and Exchange Commission

Los Angeles (CA)

On-site

USD 150,000 - 292,000

Full time

6 days ago

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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

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

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