The Investment Adviser/Investment Company Examination Program within the Division of Examinations is filling a few positions for a Attorney-Adviser, SK-0905-11 or 12 in the following locations:Atlanta, GA; Boston, MA; Chicago, IL; Denver, CO; Ft. Worth, TX; Los Angeles, CA; Miami, FL; New York, NY; Philadelphia, PA; Washington, DC; and San Francisco, CA.
The mission of the Division of Examination 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 as an Attorney-Adviser responsible for conducting examinations of investment advisers and investment companies, which involves the interpretation and application of securities laws, regulations, and policies.
As a Attorney-Adviser you will:
Participate in and provide technical assistance and support to examination or inspection activities for investment advisers and investment companies;
Work as a member of a team with other staff members engaged in conducting examinations; respond to trends in the market; identify areas of the market that merit special attention; and develop new inspection/examination procedures and processes;
Conduct research, reviews and analysis of a variety of documents related to compliance; conduct reviews of customer trading and securities holdings; review firm marketing; and develop recommendations to resolve problems in assigned areas of specialization;
Prepare reports, correspondence, memoranda and other documents summarizing reviews, research and analysis related to registered entities' compliance with the federal securities laws; and
Initiate and conduct consultations with staff of the Division of Examinations and other SEC divisions and offices on issues which present difficult questions of fact and law or policy that require review and consultation before being presented for final action.
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
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-11: a J.D. or LL.B. degree AND be an active member of the bar in good standing in any state, territory of the United States, the District of Columbia, or the commonwealth of Puerto Rico.
SK-12: Applicant must possess at least one year of post-J.D. experience defining legal issues, conducting legal research, and drafting legal documents such as contracts, dispositions, pleadings, and motions. OR One of the following below:
A second professional law degree (Master of Law/LL.M.);
Membership on a law school's journal or law review;
Membership in the Order of the Coif;
Graduation in the top 33 percent of law school class;
One year of significant non-legal work experience in a field related to the position for which the applicant is being considered (e.g., work experience with FINRA or other financial regulatory authority, or other work experience directly applicable to the work of the position for which the attorney is being hired);
A judicial clerkship following law school graduation; or
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.