
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 Broker-Dealers (BDX), Office of Investment Advisers and Investment Companies (IA/IC) and Office of Clearance Settlement (OCS) within the Division of Examinations is filling several positions. This position is a Supervisory Attorney-Adviser, SK-0905-17 and will be located in one of the following locations: Chicago, IL; Denver, CO; New York, NY or Washington, DC.
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: Plan and assign work, advise on program goals and objectives, make decisions on work problems, and organize and monitor the flow of work for the assigned programs in order to achieve the most effective results within a complex environment; Direct staff performing extensive and extremely complex inspections or examinations, work with the field offices, review reports and recommendations, provide advice on novel questions, analyze industry trends, and follow-up to ensure that recommendations are implemented by the industry; In the capacity of legal adviser and counselor, attend and participate in meetings and conferences where crucial policy formulation, procedural development, and program planning matters are discussed and agency positions developed; Provide executive leadership and management of the staff and work products by maintaining and exhibiting knowledge, insight, and understanding of the assigned specialized segment of the market; monitor new or unchartered marketing or financial techniques and developments that impacts SEC decisions; and Represent the agency in high level meetings, conferences, and presentations involving a wide range of participants such as regulatory or law enforcement agencies; state, local, national, or international government offices; private industry; and the academic community. Vacancies are in the following EXAMS' programs and duty locations: BDX Chicago, New York OCS Chicago, DC, New York IAIC Chicago, Denver Salary- $178,829 - $289,400/year