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Posted April 02, 2024

SUPERVISORY ATTORNEY-ADVISER

Securities and Exchange Commission
New York, NY Full Time
Reference: SecuritiesandExchangeCommission784490900

The Office of Investment Advisers and Investment Companies (IA/IC) within the Division of Examinations is hiring a Supervisory Securities Compliance...

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The Office of Investment Advisers and Investment Companies (IA/IC) within the Division of Examinations is hiring a Supervisory Securities Compliance Examiner in New York, NY. FOREIGN EDUCATION: If you are using education completed in foreign colleges or universities to meet the qualification requirements, you must show the education credentials have been evaluated by a private organization that specializes in interpretation of foreign education programs and such education has been deemed equivalent to that gained in an accredited U.S. education program; or full credit has been given for the courses at a U.S. accredited college or university. For further information, visit: http://www.ed.gov/about/offices/list/ous/international/usnei/us/edlite-visitus-forrecog.html At the Securities and Exchange Commission (SEC), we are committed to diversity, equity, inclusion and accessibility (DEIA) and value a workforce that reflects the diverse experiences and perspectives of the communities we serve. As such, we welcome applications from qualified individuals of all backgrounds who share our commitment to public service.

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 Securities Compliance Examiner, you will:
  • Direct employees responsible for working and/or consulting with a variety of individuals conducting examinations;
  • Operate or oversee inspections in regards to surveillance and or risk of IA/IC, BD and transfer agents;
  • Serve as a member of an examination team in an audit or examination program of a federal, state or regulatory body in the securities or financial services industry;
  • Assist in the planning for and conducting of examinations of investment companies/investments advisers, broker-dealers, transfer agents and/or operational surveillance and risk management; and
  • Provide expert analysis and review of activities related to the federal securities law requirements completed by a clearing agency, an investment adviser, a broker-dealer or an investment company.
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:
  1. Providing legal advice on federal securities laws and compliance issues as they relate to securities-related financial institutions, such as investment advisers, investment companies, broker-dealers, clearing agencies, or transfer agents; AND
  2. Preparing reports of findings; and/or leading teams of staff with varying backgrounds (e.g., legal, accounting, examining) and experience.

This listing expired on May 02. Applications are no longer accepted.

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