Legal Career Center

The Office of Clearance & Settlement within the Division of Examinations is filling one position for a Supervisory Securities Compliance Examiner, SK-1831-17, in one of the following locations: Chicago, IL.

The Division of Examinations' mission 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 entities over which the Commission has regulatory authority

As a Supervisory Securities Compliance Examiner you will be:

• Planning, coordinating, and monitoring the activities and functions of the Office of Clearance and Settlement staff in their execution of clearing agency examinations and related activities;
• Planning and assigning work, advising on program goals and objectives, making decisions on work problems, and organizing and monitoring the flow of work for the assigned programs in order to achieve the most effective results within a complex environment;
• Serving as senior manager and expert securities compliance examination consultant responsible for a specialized area of expertise, providing direction for the activities of one of the Division of Examinations program offices in the Headquarters or a regional office engaged in the conduct of examinations or inspections;
• Providing expertise and leadership in risk-based examinations of registered clearing agencies. Incorporating market and regulatory changes into examination activities. Maintaining up to date knowledge and understanding of current concerns for clearing agencies in the areas of credit, market, liquidity, and operational risk. Providing staff with information on industry trends, staff interpretations, and Commission announcements;
• Serving as adviser and counselor to key executives within the SEC on all matters arising within area for which responsible;
• Assisting in the collaboration with key stakeholders of the examination process, including internal divisions and offices (e.g. Division of Trading and Markets and Office of International Affairs), and other US regulatory bodies (e.g. Federal Reserve Board); and
• Performing human resource management and administrative functions, relative to the staff supervised, including: hiring and retaining staff, allocating work assignments, conducting performance evaluations, mentoring and training of staff. Ensuring established guidelines and performances expectations are communicated, understood, and followed by staff, which may include attorneys, securities examiners, accountants, and others. Carrying out Equal Employment Opportunity (EEO) policies, program, and diversity activities.

You must be a US Citizen.