The Office of Associate Regional Director within the Division of Examinations - Atlanta Regional Office is filling a position for a Attorney-Adviser, SK-0905-16 located in Atlanta, GA.
The Division of Examinations' mission 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 the Division of Examinations' mission to conduct and coordinate the nationwide examination program for entities over which the Commission has regulatory authority.
As Attorney-Adviser, you will:
Provide legal advice to examination staff in connection with examinations of investment advisers, investment companies, broker-dealers, transfer agents, and municipal advisors;- Interpret and apply the federal securities laws and regulations, including the Investment Advisers Act of 1940, the Investment Company Act of 1940, the Securities Exchange Act of 1934, and the Securities Act of 1933;
Participate in examinations, including interviews and meetings with registrant personnel, as well as preparation of correspondence, legal memoranda, and other examination-related materials;
Provide legal advice to the senior management and exams staff on various legal and procedural issues relating to the program;
Represent the Office at briefings and meetings with Divisions and Offices within the Commission as well as with other securities regulators; and
Represent the Office by speaking at internal and external conferences and industry events.
CITIZENSHIP: This position is open to US Citizens.
You must possess a J.D. or LL.B Degree.
You must be an active member of the bar in good standing
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-16: Applicant must have at least four years of post J.D. experience identifying legal issues, providing legal analyses, providing legal solutions/recommendations, and preparing legal documents, such as contracts, dispositions, pleadings, and motions, at least three years which includes:
Providing legal advice on issues related to the laws, rules, regulations and policies of the federal securities laws as they relate to securities-related financial institutions, such as investment advisers, investment companies, or broker-dealers; AND
Researching, preparing, and delivering guidance on a variety of complex legal issues arising from interpretation and application of federal securities laws, rules and regulations; AND
Drafting and editing memoranda, filings or other substantive written work product for various audiences on a variety of complex legal issues involving federal securities laws, rules and regulations.
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
The SEC is a bipartisan Commission consisting of up to five Commissioners appointed by the President and confirmed by the Senate. The President designates one Commissioner to serve as Chairman of the Commission. The SEC’s mission is to protect investors; maintain fair, orderly, and efficient markets; and facilitate capital formation. Accordingly, as outlined in the SEC’s Strategic Plan, the SEC’s goals are to focus on the long-term interests of our Main Street investors; recognize significant developments and trends in our evolving capital markets and adjust our efforts to ensure we are effectively allocating our resources; and elevate the agency’s performance by enhancing our analytical capabilities and human capital development. The SEC oversees the nation’s securities markets and certain market participants, including broker-dealers, investment companies, investment advisers, clearing agencies, transfer agents, credit rating agencies, and securities exchanges, as well as organizations such as the Financial Industry Regulatory Authority, Municipal Securities Rulemaking Board, and the Public Company Accounting Oversight Board. The agency’s functional responsibilities are carried o...ut through five divisions and 25 offices, each of which is headquartered in Washington, DC. The SEC also has 11 regional offices located throughout the country.
The SEC is considered a mid-sized federal agency, with 4,350 employees at the start of FY20. The SEC offers a competitive compensation and benefits package. In additional to standard federal benefits (i.e., escalating annual and sick leave, shared premiums for health, dental, vision, and life Insurance), we offer additional benefits related to child and elder care support, student loan repayment, generous retirement matching, transportation subsidy and many more benefits to support employee growth and development in our workforce.