The Office of Investment Advisers and Investment Companies (IA/IC) within the Division of Examinations is filling a position for a Attorney-Adviser, SK-0905-12 or 13 in 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 Attorney-Adviser you will:
- Participate in and providing 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; responding to trends in the market; identifying areas of the market that merit special attention; and developing new inspection/examination procedures and processes;
- Conduct research, reviews and analysis of a variety of documents related to compliance; conducting reviews of customer trading and securities holdings; reviewing firm marketing; and developing 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.
Occasional travel - Travel averages 5 days a month.
This job originated on www.usajobs.gov. For the full announcement and to apply, visit www.usajobs.gov/GetJob/ViewDetails/616942700. Only resumes submitted according to the instructions on the job announcement listed at www.usajobs.gov will be considered.