SECURITIES COMPLIANCE EXAMINER - RISK STRATEGIST

The mission of EXAMS is to protect investors, ensure market integrity and support responsible capital formation through risk-focused strategies that: (1) improve compliance; (2) prevent fraud; (3) monitor risk; and (4) inform policy. The results of the Division's examinations are used by the SEC to inform rule-making initiatives, identify and monitor risks, improve industry practices and pursue misconduct. If selected, you will join a well-respected team that is responsible for supporting EXAMS' mission to conduct and coordinate the nationwide examination program for broker dealer entities or investment advisors/investment companies over which the Commission has regulatory authority. As a Risk Strategist, you will be responsible for: Providing expert advice and assistance to senior managers and teams as to the planning, conducting, and defining the scope examinations in the form of clear summaries and both verbal and written presentations; Applying extensive knowledge of the broker dea