Senior Securities Compliance Examiner and Enforcement Administrator pay range
Commonwealth of Pennsylvania · class code 04830
- Class code
- 04830
- Pay scale group
- ST 09
- Pay unit
- Year
- Bargaining unit
- A3
- State
- Pennsylvania
- The Commonwealth of Pennsylvania published pay range for Senior Securities Compliance Examiner and Enforcement Administrator is $78,925 to $119,844 per year.
- Commonwealth of Pennsylvania Office of Administration keys this classification as class code 04830.
- 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 advanced professional or supervisory work in the examination, investigation, and/or audit of securities entities and securities for compliance with laws, regulations, and sound management and sales practices; or in coordinating the statewide supervision, enforcement, and monitoring programs for securities entities and securities. An employee in this job serves as Examiner-in-Charge of complex and/or multistate examinations, investigations, and/or audits of broker-dealer firms and agents, investment advisor firms and representatives, and securities; serves as the supervisor of a small examination or investigation unit; and/or serves as a securities enforcement administrator. Work includes explaining and interpreting changes in laws, regulations, rules, and policies affecting securities operations and practices to the securities community.
Examples of the work
• Serves as Examiner-in-Charge by leading a group of examiners in the conduct of examinations, investigations, or audits through planning, organizing, scheduling, assigning, and reviewing work. • Supervises a staff of professional employees engaged in examination or investigative functions relating to licensed or unlicensed securities activities. • Conducts examinations, investigations, and audits of securities entities or securities products. • Analyzes previous examination, investigation, and audit reports, correspondence, consumer complaints, and other available information to identify areas of concern and to prepare and plan for examinations, investigations, or audits.
Minimum qualifications
• Two years as a Securities Compliance Examiner 2; or • Four 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 • Four 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 financial securities reg ...
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.