Chief, Regional Office for Securities Compliance and Enforcement, Banking Securities pay range
Commonwealth of Pennsylvania · class code 03355
- Class code
- 03355
- Pay scale group
- ST 10
- Pay unit
- Year
- Bargaining unit
- A3
- State
- Pennsylvania
- The Commonwealth of Pennsylvania published pay range for Chief, Regional Office for Securities Compliance and Enforcement, Banking Securities is $89,996 to $136,842 per year.
- Commonwealth of Pennsylvania Office of Administration keys this classification as class code 03355.
- This is the range the plan authorises, not the salary of any individual employee.
Class specification
The Commonwealth job specification for this class is published by Commonwealth of Pennsylvania Office of Administration. The passages below are quoted from it as published, not paraphrased, and cut to their opening sentences; the full specification is the authority on duties and qualifications. It was last revised 04/30/2019.
What the state says the job is
This is responsible administrative and managerial work in planning and implementing a regional program for the examination, investigation, regulatory enforcement, and compliance of investment and securities entities regulated by the Department of Banking and Securities. The employee in this job is responsible for planning, directing, implementing, and administering a regional program of regulatory compliance for agents, broker-dealers, investment advisers, investment adviser representatives, and securities industry firms. Work involves planning and managing regulatory compliance and enforcement activities to ensure that investment and securities entities are in compliance with consumer protection statutes and regulations.
Examples of the work
• Directs regional office activities for the examination, investigation, and compliance of investment and securities entities. • Schedules and coordinates examinations and special investigations of investment and securities entities with regional office staff. • Supervises regional office staff in coordination of remediation efforts by investment and securities entities to address operational deficiencies uncovered by examinations. • Recommends enforcement actions as needed. • Analyzes and implements policies, standards, and procedures for a regional office. • Develops and implements goals and objectives for regional office staff.
Minimum qualifications
• Two years as a Senior Securities Compliance Examiner and Enforcement Administrator (commonwealth title); or • Six years of professional experience in examining or investigating financial records and operations of agents, broker-dealers, investment advisers, investment adviser representatives, and securities industry firms for compliance with laws, rules, and regulations, and a bachelor’s degree which includes nine college credits in accounting, finance, economics, or a closely related field; or • An equivalent combination of experience or training which includes nine college credits in accounting, finance, economics, or a closely related field.
Quoted from the Commonwealth job specification, read 2026-10-21.
Where this comes from
Commonwealth of Pennsylvania Office of Administration publishes this figure in Classification and Pay Plan (online, current annual salary ranges). Every number on this page is read from that document; nothing is estimated, modelled or averaged.
The Commonwealth also links this class code to its own job title and specification. That page is the official description of the classification; this page publishes its pay range.
The listed pay scale is available in the Commonwealth's current ST schedule.