Securities Compliance Examiner - Risk Strategist

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

Securities Compliance Examiner - Risk Strategist

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

The Division of Examinations (EXAMS) is seeking an a Securities Compliance Examiner (Risk Strategist), SK-1831-16 in the Office of Investment Advisers and Investment Companies (IA/IC). As a Risk Strategist, you will conduct risk analysis and analytical studies of broker-dealers or investment advisors and investment companies.

Key Responsibilities

The mission of EXAMS 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.

If selected, you will join a well-respected team that is responsible for supporting EXAMS' mission to conduct and coordinate the nationwide examination program for broker dealer entities or investment advisors/investment companies over which the Commission has regulatory authority.

As a Risk Strategist, you will be responsible for: Providing expert advice and assistance to senior managers and teams as to the planning, conducting, and defining the scope examinations in the form of clear summaries and both verbal and written presentations; Applying extensive knowledge of the broker dealer or investment advisory/investment company industry or securities compliance examinations in the conduct of risk analysis of entities being (or potentially being) examined by the agency; monitor risks by utilizing information from a wide range of tools and methods including expansive databases, models, and industry publications and experts; and analyze and evaluate data, identifying trends, concerns, emerging risks to suggest focus areas for agency priorities, initiatives and examinations; Maintaining a strong awareness of regulatory changes and evolving industry standards to ensure examination strategies remain current; Being an expert resource working with senior management and staff, assisting with developing and refining the examination plans in response to emerging market intelligence and changes in the population of registrants; conduct surveillance activities on the broker dealer or investment advisor/investment company population; establish risk-based selection methodologies for identification of exam candidates; identify factors for selection of entities for risk-based examinations; analyze and evaluate tips and complaints; and monitor program for alignment with priorities and progress toward goals; Planning, organizing, and carrying through to completion analytical studies and special projects of a breath and intensity requiring subject matter expertise and in-depth knowledge of the assigned area as well as an awareness of the most recent and novel trends in the industry; Collaborating with other risk strategists to provide analysis and input on internal risk assessment policies and procedures and make suggestions for enhancements to promote consistency, policy effectiveness and improve operational efficiencies; Identifying, analyzing, and communicating intelligence on unique and novel issues to exam staff and senior management; and Contributing to training efforts by assisting with internal trainings to broaden staff expertise.

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 $191047 – $292300/yr.

What security clearance is required?

This position requires a Other security clearance.

What is the application deadline?

Applications close on 2026-10-29.

Who is eligible to apply?

This position is open under the 'Public' hiring path.