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Securities Examiner Supervisor / Expert
The Securities Examiner Supervisor / Expert is a seasoned professional responsible for leading complex and high-profile examinations of securities firms, broker-dealers, and investment advisers in an attempt to ensure compliance with pre-determined federal and state securities laws. This role involves evaluating intricate financial transactions, identifying systemic risks, and providing strategic guidance to enhance market stability. The Securities Examiner Supervisor / Expert serves as a subject matter expert, mentoring junior examiners and offering insights on regulatory practices and emerging industry trends.
Class Code:
FIF09P
Job Grade:
SPC05
Special Job Requirements:
Typical Functions:
The assignment of supervisory duties is determined by the hiring agency’s operational needs. Non-supervisory roles will serve as senior technical experts. Plan, coordinate, and conduct comprehensive examinations of securities firms, focusing on compliance, risk management, and operational soundness. Analyze complex financial transactions, trading activities, and investment strategies to identify abnormalities, irregularities, or potential risks. Evaluate internal controls, governance structures, and compliance programs to ensure alignment with regulatory requirements. Investigate potential violations of securities laws, such as fraud, insider trading, or market manipulation, and recommend enforcement actions when necessary. Prepare detailed and high-level examination reports summarizing findings, recommendations, and corrective measures. Collaborate with securities firm executives, legal teams, and regulatory agencies to address identified issues and enforce compliance measures. Provide technical guidance and mentorship to junior and mid-level examiners, fostering professional development within the examination team. Stay informed about changes in securities laws, market developments, and emerging risks to refine examination techniques and methodologies. Represent the agency in interagency meetings and industry conferences as a subject matter expert.
Knowledge, Abilities, and Skills:
Exceptional analytical and critical-thinking abilities for interpreting complex financial and operational data. Comprehensive knowledge of securities laws, financial markets, and investment strategies. Strong written and verbal communication skills for preparing reports and interacting with a variety of assorted personnel. Advanced leadership and team management skills. Proficiency in financial analysis tools, databases, and relevant software. High adaptability to evolving regulatory landscapes and industry innovations.
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 10 years of progressively responsible experience in securities examinations, financial analysis, investment operations, or regulatory compliance. Professional certifications such as Chartered Financial Analyst (CFA), Certified Public Accountant (CPA), or Financial Risk Manager (FRM) may be required. Extensive experience in handling complex examinations and providing strategic recommendations to a variety of assorted personnel. Proven track record in identifying systemic risks and contributing to high-level regulatory decision-making. Demonstrated expertise in training and mentoring examination teams or junior professionals. Satisfaction of the minimum qualifications, including years of experience and service, does not entitle employees to automatic progression within the job series. Promotion to the next classification level is at the discretion of the department and the Office of Personnel Management, taking into consideration the employee’s demonstrated skills, competencies, performance, workload responsibilities, and organizational needs.
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