
SUPERVISORY ATTORNEY-ADVISER
Securities and Exchange Commission See More Job Openings by This Employer
Job Description
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.
Duties 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 Salary- $152,687 - $289,400/year