Outstanding examiners are those who have a background in finance or accounting and who are detail oriented. We invite you to read this brochure and to consider the opportunity to work and to learn in an environment committed to excellence. The securities industry is dynamic and exciting. Becoming an examiner is perhaps the best way to learn securities compliance and to obtain first hand experience in the securities industry. Securities firms are located everywhere throughout the United States.
Examiners routinely travel throughout their region or district to conduct on-site examinations.
Whether your schedule takes you across town or across the country, your day to day activities will be anything but routine. Our mandate is to protect investors through fostering compliance with the securities laws, detecting violative conduct, and ensuring that the SEC is informed of developments in the regulated community. The examination program is administered by staff in the Commission's headquarters office and in the SEC's five regional and six district offices around the country. The examination staff provides the information and oversight link between the SEC and its regulated entities. The staff starts the process by conducting background research on the entity to be examined.