Securities Compliance Examiner | eFinancialCareers

Join the SEC’s Division of Examinations!

The Division of Exams administers the SEC’s nationwide examination and inspection plan for registered self-regulatory organizations, NRSROs, broker-sellers, transfer brokers, clearing agencies, financial commitment organizations, and expenditure advisers.


The Securities Compliance Examiner positions are situated in the Division of Examination’s Headquarter Business office, Boston Regional Place of work and Philadelphia Regional Place of work.

If chosen, you will sign up for the Nationwide Evaluation Application, performing as a member of a team or under the tutelage of greater-graded workers in conducting exams of registered entities, with an emphasis on investment decision firm and financial commitment adviser exams.

Normal Duties Contain:

  • Providing specialized guidance and guidance for just one or extra of the Countrywide Evaluation Plan spots of emphasis these as self-regulatory corporations, broker-sellers, transfer brokers, municipal advisers, municipal and governing administration securities sellers, financial investment corporations, expense advisers and clearing businesses -both clearing organizations and securities depositories- which are registered below the Securities Trade Act of 1934
  • Operating as a member of a crew or less than the tutelage of bigger-graded workers, delivers securities compliance examination support for steps currently being carried out by the SEC and
  • In a developmental ability, furnishing support for one particular or additional of Countrywide Evaluation Program’s assessment, investigation and enforcement actions and functions these kinds of as examining economic statements, evaluating economic accounting devices, coordinating examinations with stock exchanges, reconstructing records, inspecting and examining “road intelligence,” examining income-administration programs, reviewing investigatory problems, investigating new financial goods, inspecting specialised securities these as junk bonds, interviewing principals of registrants, examining overall performance calculations, examining possibility, building surveillance initiatives.


All qualification needs have to be satisfied by the closing day of this announcement.

Qualifying working experience could be received in the non-public or general public sector. Knowledge refers to paid out and unpaid practical experience, such as volunteer function accomplished via Nationwide Provider applications (e.g., Peace Corps, AmeriCorps) and other companies (e.g., qualified philanthropic spiritual spiritual community, student, social). Volunteer do the job assists make crucial competencies, expertise, and abilities and can give precious training and practical experience that interprets specifically to paid work. You will obtain credit rating for all qualifying experience, together with volunteer knowledge. Qualifying education need to have been attained from an accredited school or college recognized by the U.S. Office of Training.

Least QUALIFICATION Requirement:

GS-11: To be qualified at the GS-11 level, you must satisfy at least Just one of the following problems, as outlined down below: Specialised Practical experience, Instruction, OR a mix of Training and Experience.

Specialised Expertise: Applicant will have to have at the very least just one 12 months of specialized encounter equal to at the very least the GS/SK-09 degree in at minimum two of the adhering to areas:

  • Aiding with the audits, exams, investigations, or interior compliance critiques of securities-connected economical institutions this kind of as investment advisers, expenditure companies, broker-sellers, clearing businesses, or transfer agents
  • Aiding with the evaluation of procedures, techniques, and documents similar to the issuance, distribution, and buying and selling of securities
  • Doing financial investment investigation and/or management of securities
  • Aiding in the adoption, implementation, or testing of interior controls or inner danger administration packages (these types of as cybersecurity hazard administration) of economical companies
  • Engaging in securities investing, portfolio management, or financial commitment administration or
  • Engaging in back business help features this sort of as settlements, clearances, report maintenance, accounting, and IT expert services for securities-relevant money institutions. OR
  • Education and learning: Applicant should have a Ph.D. or equivalent doctoral diploma LL.M., or 3 entire several years of progressively higher amount graduate education primary to these types of a diploma if relevant to business enterprise administration, finance, or accounting. OR

Combination of Schooling and Working experience: Applicant will have to possess a blend of education and encounter which includes training exceeding two several years of graduate study in small business administration, finance or accounting and at least six (6) months of specialised practical experience equivalent to GS/SK-09 amount (1) conducting the actions described in answer option A above.

SK-12: Applicant have to have at least one 12 months of specialised encounter equal to at minimum the GS/SK-11 amount. Specialized practical experience involves the subsequent:

  • Reviewing, exploring, or making use of the provisions of the Expense Advisers Act of 1940 or the Expenditure Corporation Act of 1940 AND
  • Executing at minimum just one of the pursuing capabilities:
  • Collaborating in examinations, investigations, audits or internal compliance reviews of expense advisers and/or investment decision providers
  • Aiding in the adoption, implementation, evaluate or screening of policies and techniques, inside controls or internal threat administration systems for securities-related fiscal establishments (e.g. investment decision adviser, investment firm, and so forth.)
  • Helping in the planning and/or analyses of economic, operational, or securities business information, or the planning and/or filing of regulatory studies
  • Assisting with the evaluate of treatments, tactics, or information similar to the issuance, distribution, and investing of securities or
  • Participating in portfolio management or expenditure administration, or accomplishing expense investigation or administration of securities.


ARE YOU Making use of YOUR Training TO QUALIFY? You Will have to supply transcripts or other documentation to guidance your instructional promises. Until usually mentioned: (1) official or unofficial transcripts are appropriate, or (2) you may well submit a checklist with all of your classes, grades, semester, 12 months, and credit rating for the class. All components will have to be submitted by the closing date of the announcement.

Move/Fall short Classes: If additional than 10 per cent of your undergraduate training course perform (credit several hours) had been taken on a move/are unsuccessful basis, your claim of top-quality educational accomplishment will have to be based upon course standing or membership in an honor culture.

Foreign Education: If you are applying schooling completed in international faculties or universities to meet up with the qualification demands, you should exhibit the training credentials have been evaluated by a private firm that specializes in interpretation of international education and learning applications and such schooling has been deemed equal to that attained in an accredited U.S. schooling system or comprehensive credit history has been given for the courses at a U.S. accredited college or university or college. For even further information and facts, visit: of work/listing/ous/intercontinental/usnei/us/edlite-visitus-forrecog.html