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
Qualifications
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.
Education
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
Required Documents
You must provide a complete Application Package, which includes: Required: Your responses to the Occupational Questionnaire. Required: Your complete and comprehensive resume that includes a complete history of your work experience and the applicable employment dates with months and years. It is recommended that your resume include the title, series, and grade (e.g. SK-0301-12) for all relevant Federal experience . To determine if you qualify for this position, OHR will review your work history that is relevant to the specific position for which you applied. If you are a current SEC employee selected for this position, the standard percentage increases will be applied (i.e., 6% for non-supervisory and 10% for supervisory positions) if your selection results in a promotion. If your selection results in lateral movement (i.e. no change in grade) you will maintain your current salary. If your selection results in a change in grade from an SK-15 to an SK-16 you will maintain your current salary. Note: Your resume must directly address the definition of specialized experience listed in the qualification section of this announcement and must NOT contain pictures.
How to Apply
To apply for this position, you must complete the online application and submit the documentation specified in the Required Documents section below. A complete application package must be submitted by 11:59 PM (EST) on the closing date of the announcement to receive consideration. To begin, click Apply to access the online application. You will need to be logged into your USAJOBS account to apply. If you do not have a USAJOBS account, you will need to create one before beginning the application. Follow the prompts to select your resume and/or other supporting documents to be included with your application package. You will have the opportunity to upload additional documents to include in your application before it is submitted. Your uploaded documents may take several hours to clear the virus scan process. After acknowledging you have reviewed your application package, complete the Include Personal Information section as you deem appropriate and click to continue with the application process. You will be taken to the online application which you must complete in order to apply for the position. Complete the online application, verify the required documentation is included with your application package, and submit the application. To verify the status of your application, log into your USAJOBS account (https://my.usajobs.gov/Account/Login), all of your applications will appear on the Welcome screen. The Application Status will appear along with the date your application was last updated. For information on what each Application Status means, visit: https://www.usajobs.gov/Help/how-to/application/status/.
