Exam Manager

The Division of Examinations is seeking a Supervisory Securities Compliance Examiner (Exam Manager), SK-1831-15 in the Office of Investment Advisers and Investment Companies (IA/IC). As an Exam Manager, You will join a well-respected team that is responsible for supporting EXAMS' mission to conduct and coordinate the nationwide examination program for entities over which the Commission has regulatory authority.

The mission of the Division of Examinations 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. In this role as an Exam Manager, you will be responsible for: Directing employees responsible for working and/or consulting with a variety of individuals in the conduct of legislated programs; Producing well-constructed written reports and presentations whose audience includes senior staff from across the Division and the SEC; Serving as a member or supervisor of an examination team in an audit or examination program of a federal, state or regulatory body in the securities or financial services industry; Operating or overseeing examinations based on the surveillance or assessment of investment companies, investments advisers, broker dealer, SROs, clearing agencies, municipal advisors, and transfer agents and their associated persons to determine level of compliance with federal/state securities laws and regulations; Assigning work, taking into account skills and abilities of the staff and monitoring work performance; Providing expert analysis and review of activities related to the federal securities law requirements for investment companies/investments advisers, broker dealer, SROs, clearing agencies, municipal advisors, and transfer agents and their associated persons; and Assisting and leading in developing or enhancing existing tools, data sets and applications that assist the Division in executing its risk-based examination approach.