Securities Compliance Risk Strategist

U.S.-Securities-and-Exchange-Commission; San Francisco (CA); On-site; USD 110,000 - 150,000; Full time

Job summary

The U.S. Securities and Exchange Commission's Division of Examinations (EXAMS) seeks a Securities Compliance Examiner (Risk Strategist), SK-1831-16, in the IA/IC office to perform risk analysis and analytical studies of broker-dealers, investment advisers and investment companies.

The role emphasizes obtaining and reviewing materials by closing date, briefing senior management, and developing findings to address deficiencies across focus areas.

Qualifications

• Specialized experience includes analyzing data to identify emerging risks for broker-dealers, investment advisers, and investment companies.
• Providing briefings to senior management and developing recommendations to address issues.
• Experience can be in private or public sectors and includes volunteer work if relevant.

Responsibilities

• Conduct risk analysis and analytical studies of broker-dealers or investment advisers and investment companies.
• Confirm all required materials are submitted by closing date of the announcement.
• Develop recommendations and/or reports of findings to address deficiencies.

Job description

The U.S. Securities and Exchange Commission's Division of Examinations (EXAMS) seeks a Securities Compliance Examiner (Risk Strategist), SK-1831-16, in the IA/IC office to perform risk analysis and analytical studies of broker-dealers, investment advisers and investment companies.

The role emphasizes obtaining and reviewing materials by closing date, briefing senior management, and developing findings to address deficiencies across focus areas.