Securities Compliance Examiner 2 pay range
Commonwealth of Pennsylvania · class code 04820
- Class code
- 04820
- Pay scale group
- ST 08
- Pay unit
- Year
- Bargaining unit
- A4
- State
- Pennsylvania
- The Commonwealth of Pennsylvania published pay range for Securities Compliance Examiner 2 is $69,086 to $104,959 per year.
- Commonwealth of Pennsylvania Office of Administration keys this classification as class code 04820.
- 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 10/15/2016.
What the state says the job is
This is professional work in the examination, investigation, and/or audit of securities entities and securities for compliance with laws, regulations, and sound management and sales practices. An employee in this job independently conducts examinations, investigations, and/or audits of broker-dealer firms and agents, investment advisor firms and representatives, and securities. Work involves independently preparing examination, investigation, or audit plans; conducting entrance conferences; interviewing company principals; inspecting books and records; determining the policies and operating procedures in effect; gathering, compiling, and analyzing documents and information; preparing written reports of findings; and presenting results including conclusions and recommendations.
Examples of the work
• Conducts examinations, investigations, and audits of the regulated securities community and securities to ensure compliance with applicable laws and regulations and to ensure investor protection. • Reviews investor complaint files for registrants to be examined by reviewing licensing and enforcement files associated with registrants and, if appropriate, contacts representatives of the Securities and Exchange Commission, Financial Industry Regulatory Authority, various financial exchanges and markets, or other enforcement personnel to determine specific examination areas to be emphasized.
Minimum qualifications
• Two years as a Non-Depository and Securities Compliance Examiner 1; or • Two years of professional accounting, auditing, financial securities investigative, financial securities compliance, or financial securities operations work experience in a financial securities entity or in the financial securities operation of a financial institution and a bachelor’s degree including or supplemented by nine credits in accounting, finance, economics, or a closely related field; or • Two years of professional experience in examining, auditing, or the financial investigation of financial securities entities or products for conformance to financial securities laws, financial securities rules, and financi ...
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.