SECURITIES COMPLIANCE EXAMINER - RISK STRATEGIST

Risk Strategist The mission of EXAMS is to protect investors, ensure market integrity and support responsible capital formation through risk-focused strategies that: improve compliance; prevent fraud; monitor risk; and 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 dealer or investment advisory/investment company industry or securities compliance examinations in the conduct of risk analysis of entities being (or potentially being) examined by the agency; monitor risks by utilizing information from a wide range of tools and methods including expansive databases, models, and industry publications and experts; and analyze and evaluate data, identifying trends, concerns, emerging risks to suggest focus areas for agency priorities, initiatives and examinations; Maintaining a strong awareness of regulatory changes and evolving industry standards to ensure examination strategies remain current; As an expert resource working with senior management and staff, assisting with developing and refining the examination plans in response to emerging market intelligence and changes in the population of registrants; conduct surveillance activities on the broker dealer or investment advisor/investment company population; establish risk-based selection methodologies for identification of exam candidates; identify factors for selection of entities for risk-based examinations; analyze and evaluate tips and complaints; and monitor program for alignment with priorities and progress toward goals; Planning, organizing, and carrying through to completion analytical studies and special projects of a breath and intensity requiring subject matter expertise and in-depth knowledge of the assigned area as well as an awareness of the most recent and novel trends in the industry; Collaborating with other risk strategists to provide analysis and input on internal risk assessment policies and procedures and make suggestions for enhancements to promote consistency, policy effectiveness and improve operational efficiencies; Identifying, analyzing, and communicating intelligence on unique and novel issues to exam staff and senior management; and Contributing to training efforts by assisting with internal trainings to broaden staff expertise. Vacancies are in the following EXAMS programs and duty locations: BDX: Atlanta, Boston, DC, Miami and Philadelphia IA/IC: Denver and Miami