Securities Compliance Examiner

Typical Duties Include:

  • Working as a member of a team of examiners with various levels of experience and professional backgrounds to conduct examinations of securities-related financial institutions registered with the SEC such as investment companies, investment advisers, broker-dealers, transfer agents, and municipal advisors.
  • Evaluating possible risks to investors and the financial markets of registered securities-related financial institutions’ business models and practices based on review and analysis, through modern quantitative techniques when possible, of information reported by the institutions to the SEC and other internal and external data sources.
  • Executing risk-based examination plans, which frequently involves: (i) analyzing a financial institution’s operations and procedures, sales practices, supervisory systems, books and records, and financial statements, (ii) reviewing investigatory complaints, (iii) investigating new financial products, (iv) examining specialized securities, (v) interviewing principals of registrants, and/or (vi) analyzing performance calculations to assess the level of compliance with federal securities laws and/or self-regulatory requirements.
  • Developing recommendations and reports, presenting and defending findings, and collaborating as required with legal staff.

Securities and Exchange Commission