Exam Manager

Summary The Division of Examinations is seeking Supervisory Securities Compliance Examiner (Exam Manager) in the Office of Broker-Dealers (BDX)-East and Office of Broker-Dealers (BDX)-New York. 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. Responsibilities 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 in...

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