Senior Securities Compliance Examiner

Securities and Exchange Commission; Fort Worth (TX); On-site; USD 110,000 - 150,000; Full time

Job summary

The Securities and Exchange Commission seeks a qualified examiner to conduct examinations of broker-dealers, transfer agents, investment companies, and investment advisers under its oversight. The role requires careful legal analysis, sound judgment, and strong communication skills to support enforcement and regulatory objectives.

Applicants must have a J.D. or LL.B., active bar membership in good standing, and at least four years of post J.D.

Qualifications

• J.D. or LL.B. degree is required.
• Active membership of the bar in good standing is required.
• Four years post J.D. work experience with at least three years of specialized experience.

Responsibilities

• Conduct examinations of broker-dealers, transfer agents, investment companies, investment advisers and self-regulatory organizations.
• Assess compliance, activities and risks of registered securities firms; provide information to enforcement staff.

Skills

Leading the Organization

Leading and Developing People

Results Orientation

Building Coalitions

Analysis and Risk Assessment

Examwork

Critical Thinking

Education

J.D. or LL.B. degree

Active bar membership in good standing (US state/DC/PR)

Job description

The Securities and Exchange Commission seeks a qualified examiner to conduct examinations of broker-dealers, transfer agents, investment companies, and investment advisers under its oversight. The role requires careful legal analysis, sound judgment, and strong communication skills to support enforcement and regulatory objectives.

Applicants must have a J.D. or LL.B., active bar membership in good standing, and at least four years of post J.D.