This announcement is open to current SEC employees in the Division of Examinations only. The Office of Investment Advisers and Investment Companies (IA/IC) within the Division of Examinations is filling several positions. This position is a Supervisory Attorney-Adviser, SK-0905-15 and will be located in one of the following locations: FT. Worth, TX; New York, NY; Philadelphia, PA or San Francisco, CA.
All qualification requirements must be met by the closing date of this announcement. Qualifying experience may be obtained in the private or public sector. Experience refers to paid and unpaid experience, including volunteer work done through National Service programs (e.g., Peace Corps, AmeriCorps) and other organizations (e.g., professional, philanthropic, religious, spiritual, community, student, social). Volunteer work helps build critical competencies, knowledge, and skills and can provide valuable training and experience that translates directly to paid employment. You will receive credit for all qualifying experience, including volunteer experience. Qualifying education must have been obtained from an accredited college or university recognized by the U.S. Department of Education. BASIC REQUIREMENT: All applicants must possess the following J.D. or LL.B. degree --AND-- Active membership of the bar in good standing in any state, territory of the United States, the District of Columbia, or the commonwealth of Puerto Rico. (Note: proof of bar membership will be required before entry on duty. MINIMUM QUALIFICATION REQUIREMENT: In addition to meeting the basic requirement, applicants must also meet the minimum qualification requirement. SK-15: Applicant must have one year of specialized experience equivalent to the GS/SK-13 level. Specialized experience includes: Providing legal guidance involving the review and evaluation of procedures, records and practices of broker-dealers, clearing agencies, transfer agents, municipal advisers, investment advisers, investment companies, security-based swap dealers, or self-regulatory organizations; AND Preparing reports of findings; and/or leading teams of staff with varying backgrounds (e.g., legal, accounting, examining); AND Identifying emerging risks and issues affecting financial institutions, market intermediaries, and participants and producing written reports.
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. If selected, 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. As a Supervisory Attorney Adviser, you will: Direct employees responsible for working and/or consulting with a variety of individuals in the conduct of legislated programs; Produce well-constructed written reports and presentations whose audience includes senior staff from across the Division and the SEC; Serve as a member or supervisor of an examination team in an audit or examination program of a federal, state or regulatory body in the securities or financial services industry; Operate or oversee examinations based on the surveillance or assessment of investment companies, investments advisers, broker dealer, SROs, clearing agencies, municipal advisors, and transfer agents and their associated persons to determine level of compliance with federal/state securities laws and regulations; Assign work, taking into account skills and abilities of the staff and monitoring work performance; Provide expert analysis and review of activities related to the federal securities law requirements for investment companies/investments advisers, broker dealer, SROs, clearing agencies, municipal advisors, and transfer agents and their associated persons; and Assist and lead in developing or enhancing existing tools, data sets and applications that assist the Division in executing its risk-based examination approach. Vacancies are available in the following EXAMS' programs and duty locations: IAIC Fort Worth IAIC New York IAIC Philadelphia IAIC San Francisco