Exam Manager – Senior Securities Compliance Examiner

SEC; Washington (District of Columbia); On-site; USD 90,000 - 120,000; Full time

Job summary

The Division of Examinations at the U.S. Securities and Exchange Commission seeks a Supervisory Securities Compliance Examiner (Exam Manager), SK-1831-15, in the Office of Investment Advisers and Investment Companies (IA/IC).

This position leads a team and coordinates nationwide examinations for entities under Commission authority, with time-in-grade at least one year for the GS/SK-13 level. Candidates should demonstrate strong examwork, information gathering, critical thinking, and teamwork to

Qualifications

• Specialized experience includes auditing, examining, or investigating broker-dealers, investment advisers, and investment companies.
• Preparing reports of findings and leading teams with diverse backgrounds.
• Identifying emerging risks affecting financial institutions and market participants.

Responsibilities

• Competently conducts examwork to obtain information from entities under examination.
• Gathers and processes large amounts of information to identify deficiencies.
• Applies critical thinking to determine next steps in a case.
• Collaborates with internal and external partners to advance examinations and agency goals.

Job description

The Division of Examinations at the U.S. Securities and Exchange Commission seeks a Supervisory Securities Compliance Examiner (Exam Manager), SK-1831-15, in the Office of Investment Advisers and Investment Companies (IA/IC).

This position leads a team and coordinates nationwide examinations for entities under Commission authority, with time-in-grade at least one year for the GS/SK-13 level. Candidates should demonstrate strong examwork, information gathering, critical thinking, and teamwork to