Securities Compliance Risk Strategist

SEC; San Francisco (CA); On-site; USD 120,000 - 150,000; Full time

Job summary

The Securities and Exchange Commission (SEC) is seeking a Securities Compliance Examiner (Risk Strategist) to conduct risk analyses and analytical studies across broker-dealers, investment advisers and investment companies. The role emphasizes identifying emerging risks, briefing senior management, and developing actionable recommendations.

Applicants must meet the minimum qualification requirement and ensure all required materials are submitted by the closing date.

Qualifications

• Specialized experience identifying risks across broker-dealers, clearing agencies, transfer agents, municipal advisers, investment advisers, investment companies, security-based swap dealers, private funds or self-regulatory organizations.
• Ability to brief senior management.
• Developing recommendations and/or reports of findings to address and resolve issues in relevant entities.

Skills

Analysis and Risk

Critical Thinking

Information Gathering

Managing Information

Job description

The Securities and Exchange Commission (SEC) is seeking a Securities Compliance Examiner (Risk Strategist) to conduct risk analyses and analytical studies across broker-dealers, investment advisers and investment companies. The role emphasizes identifying emerging risks, briefing senior management, and developing actionable recommendations.

Applicants must meet the minimum qualification requirement and ensure all required materials are submitted by the closing date.