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    Duties

    Summary

    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

    Responsibilities

    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.

    Travel Required

    Occasional travel - You may be expected to travel more than 25%.

    Supervisory status

    Yes

    Promotion Potential

    15

  • Job family (Series)

    0905 Attorney

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.