The Office of Security-Based Swaps within the Division of Examinations is filling one position for a Supervisory Attorney-Adviser, SK-0905-17, in one of the following locations: Chicago, IL or New York, NY or Washington, DC.Learn more about this agency
The Division of Examinations conducts the SEC's National Exam Program. The Division's 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 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:
- In coordination with the SBS Joint Venture co-lead, design, develop, and maintain a best-in-class SBS examination and monitoring program;
- Plan, coordinate, and monitor the activities and function of the Joint Venture staff in their execution of SBS examinations and related monitoring activities;
- Plan and assign work, advise on program goals and objectives, make decisions on work problems, and organize and monitor the flow of work in order to achieve the most effective results in a complex environment;
- In coordination with the SBS Joint Venture co-lead, oversee the implementation plan of the working group for Title VII, providing legal and technical supervision necessary for accomplishing the work of the joint venture;
- Provide legal guidance on challenging and complex Title VII implementation issues;
- Provide legal expertise and leadership in risk-based examinations of registered SBS entities. Incorporate market and regulatory changes into examination activities. Maintain up to date knowledge and understanding of current concerns related to SBS and brief senior management and others at the Commission on such issues;
- Facilitate and maintain relationships with other EXAMS programs, Division of Trading and Markets (TM), Division of Enforcement (ENF), Office of International Affairs (OIA), and Office of the Chief Data Officer (CDO) and other securities regulators on matters involving Title VII implementation, generally; and
- Represent the Joint Venture and EXAMS in meetings and conferences where policy formulation and program planning are discussed and agency positions are developed.
Occasional travel - Travel averages one week or 5 days a month.
This job originated on www.usajobs.gov. For the full announcement and to apply, visit www.usajobs.gov/GetJob/ViewDetails/600157900. Only resumes submitted according to the instructions on the job announcement listed at www.usajobs.gov will be considered.