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Chief Securities Examiner
The Chief Securities Examiner is a senior leadership role responsible for overseeing the examination and regulation of securities firms, broker-dealers, investment advisers, and other entities within the securities industry. This position involves managing the agency's examination programs, providing strategic oversight, and ensuring compliance with pre-determined securities laws and regulations. The Chief Securities Examiner serves as a key advisor to executive leadership, contributing to policy development and fostering public trust in financial markets.
Class Code:
FIF02C
Job Grade:
SPC07
Special Job Requirements:
Typical Functions:
Lead and manage the securities examination programs, ensuring all activities comply with applicable laws, regulations, and standards. Develop and implement strategic plans, policies, and procedures for conducting securities examinations effectively and efficiently. Supervise and mentor examination teams, providing technical guidance and fostering professional development. Oversee the review and analysis of complex financial transactions, trading activities, and compliance programs to identify systemic risks or violations. Prepare and present high-level reports and recommendations to executive leadership, regulatory agencies, or legislative bodies. Collaborate with other regulatory authorities, legal teams, and a variety of assorted personnel to address enforcement actions and promote compliance. Act as a subject matter expert on securities regulations, providing insights and guidance on emerging trends and industry developments. Represent the agency at interagency meetings, public hearings, and industry conferences. Ensure the continuous improvement of examination methodologies, incorporating technological advancements and best practices.
Knowledge, Abilities, and Skills:
Exceptional leadership and team management skills, with the ability to inspire and guide examination personnel. Advanced analytical and problem-solving abilities, particularly in evaluating complex financial and operational data. Excellent written and verbal communication skills for preparing reports and engaging with a variety of assorted personnel. Strong decision-making and strategic planning capabilities. High adaptability to evolving regulatory frameworks and financial industry innovations. Commitment to maintaining transparency, integrity, and public trust in financial markets.
Minimum Qualifications:
A bachelor’s degree in accounting, finance, economics, business administration, or a related field. Coursework should include subjects such as financial accounting, securities regulation, investment analysis, and economics. Minimum of 14 years of progressively responsible experience in securities examinations, regulatory compliance, or financial services. Professional certifications such as Chartered Financial Analyst (CFA), Certified Public Accountant (CPA), or Financial Risk Manager (FRM) may be required. Demonstrated expertise in managing complex examination programs and leading teams. Extensive knowledge of securities laws, financial markets, and investment practices. Prior experience in a senior leadership or supervisory role within a regulatory agency or financial institution.
Required Certificates:
N/A OTHER JOB RELATED EDUCATION AND/OR EXPERIENCE MAY BE SUBSTITUTED FOR ALL OR PART OF THESE BASIC REQUIREMENTS, EXCEPT FOR CERTIFICATION OR LICENSURE REQUIREMENTS, UPON APPROVAL OF THE QUALIFICATIONS REVIEW COMMITTEE.
Exempt:
E