[Job] SEC Securities Compliance Examiner-Industry Expert


New Member
Name of Employer or Agency
U.S. Securities and Exchange Commission

Job title
Securities Compliance Examiner-Industry Expert

Washington, DC

$134,324.00 to $221,435.00

Job description
The Division of Enforcement investigates possible violations of securities laws, recommends Commission action when appropriate, either in a federal court or before an administrative law judge, and negotiates settlements. This position is in the Division of Enforcement located in Washington, DC, or in one of the regional offices.

Salary varies based on locality -
Atlanta, GA: $124,549- $205,320
Boston, MA: $139,785- $230,437
Chicago, IL: $135,795- $223,859
Denver, CO: $130,529- $215,178
Fort Worth, TX: $126,592- $208,689
Los Angeles, CA: $138,822- $228,850
Miami, FL: $127,490- $210,169
New York, NY: $141,374- $233,057
Philadelphia, PA: $131,696- $217,103
Salt Lake City, UT: $120,332- $198,368
San Francisco, CA: $142,110- $234,269
Washington, DC: $134,324- $221,435

If selected, you will join a well-respected team that is responsible for utilizing analytic tools and technologies to advance the Division of Enforcement’s objectives of identifying, preventing, and combating fraud in the securities industry.

Typical Duties Include:
  • Providing expert level technical expertise on and insight into one or more of the following areas; derivatives and other complex markets, unique and novel investment practices and strategies, securities trading, financial compliance, forensic accounting/internal auditing, risk analysis, and/or risk intelligence.
  • Designing new risk-based initiatives and methods of investigation to help identify securities law violations and generate Enforcement cases.
  • Using analytical tools and investigative/intelligence platforms to analyze data, creating custom reports, and identifying and developing patterns and trends to support Enforcement cases and actions.
  • Developing innovative and creative solutions to complex problems using industry expertise, programming skills, and analytical tools.
  • Monitoring financial engineering developments in the securities industry and providing expertise and insight as to potential risks and impact.
  • Coordinating and collaborating with analytical and risk staff within the Enforcement Division and across the agency on high-level, high-visibility, and sensitive assignments that frequently require immediate action.
Apply/contact info for candidates
For more details or to apply online visit: https://www.usajobs.gov/GetJob/ViewDetails/377374200

Employer profile
The mission of the U.S. Securities and Exchange Commission is to protect investors, maintain fair, orderly, and efficient markets, and facilitate capital formation.