The Office of Compliance Inspections and Examinations (OCIE) administers the SEC's nationwide examination and inspection program for registered self-regulatory organizations, NRSROs, broker-dealers, transfer agents, clearing agencies, investment companies, and investment advisers.Learn more about this agency
This position is in the FINRA and Securities Industry (FSIO) Examination Program. FSIO seeking to fill a Supervisory Attorney-Adviser in one of the following locations: Atlanta, GA; Chicago, IL; Los Angeles, CA; Miami, FL; New York, NY; Philadelphia, PA or Washington, DC. The selectee will remain in their current office location.FSIO is responsible for providing accounting/examining FINRA and the MSRB as well as supporting the National Examination Program's (NEP's) mission. If selected, you will join a well-respected team that is responsible for supporting OCIE's 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:
- Participate in planning and conducting securities compliance examinations;
- Apply judgement and knowledge of the securities industry to FSIO's oversight functions;
- Provide advice and technical support for examinations in areas related to self-regulatory organizations (SRO) and broker-dealers registered under the Securities Exchange Act of 1934;
- Conduct interviews of SRO personnel;
- Conduct research and analysis of examination-related documents and developing recommendations to resolve problems or issues encountered;
- Draft precise and well-organized documents such as request lists, scope memoranda, and examination reports and letters detailing findings;
- As required, work with senior staff to develop and respond to questions on matters of processes, procedures, and policy; and
- Collaborate with other team members. Work both individually and as part of a team.
Occasional travel - You may be expected to travel more than 25%.
Job family (Series)
This job originated on www.usajobs.gov. For the full announcement and to apply, visit www.usajobs.gov/GetJob/ViewDetails/553981500. Only resumes submitted according to the instructions on the job announcement listed at www.usajobs.gov will be considered.