Risk Strategist: Securities Compliance Examiner

Securities and Exchange Commission; San Francisco (CA); On-site; USD 191,000 - 292,000; Full time

Job summary

The Securities and Exchange Commission seeks a Securities Compliance Examiner (Risk Strategist) for the Office of Investment Advisers and Investment Companies. You will conduct risk analysis of broker-dealers and investment advisers and prepare clear summaries for senior management.

This federal role emphasizes risk monitoring, exam planning, and collaboration with other risk strategists to align examinations with priorities. Salary range posted is $191,047 to $292,300 per year.

Qualifications

• Experience in securities compliance examinations or risk analysis preferred.
• Ability to summarize complex risk assessments for senior management.
• Strong communication and analytical skills for written and verbal presentations.

Responsibilities

• Provide expert advice to senior managers on planning and conducting risk-focused examinations.
• Apply knowledge of broker-dealer and investment adviser industries to risk analysis.
• Monitor risks using databases, models, and industry publications to identify trends and emerging risks.
• Help develop examination plans in response to market intelligence and changes in registrant populations.
• Collaborate with other risk strategists to improve risk assessment policies and procedures.

Job description

The Securities and Exchange Commission seeks a Securities Compliance Examiner (Risk Strategist) for the Office of Investment Advisers and Investment Companies. You will conduct risk analysis of broker-dealers and investment advisers and prepare clear summaries for senior management.

This federal role emphasizes risk monitoring, exam planning, and collaboration with other risk strategists to align examinations with priorities. Salary range posted is $191,047 to $292,300 per year.