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SUPERVISORY ATTORNEY-ADVISER

Securities and Exchange Commission
Division of Examinations - Office of Investment Advisers and Investment Companies (IA/IC)
This job announcement has closed

Summary

This announcement is open to current SEC employees in the Division of Examinations only.

The Office of Investment Advisers and Investment Companies (IA/IC) within the Division of Examinations is filling several positions. This position is a Supervisory Attorney-Adviser, SK-0905-15 and will be located in one of the following locations: FT. Worth, TX; New York, NY; Philadelphia, PA or San Francisco, CA.

Overview

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Reviewing applications
Open & closing dates
07/07/2025 to 07/21/2025
Salary
$152,687 to - $289,400 per year
Pay scale & grade
SK 15
Locations
1 vacancy in the following locations:
San Francisco, CA
New York, NY
Philadelphia, PA
Fort Worth, TX
Remote job
No
Telework eligible
No
Travel Required
Occasional travel - Travel averages 5 days a month.
Relocation expenses reimbursed
No
Appointment type
Temporary promotion - Not to Exceed (NTE) 120 Days. The temporary promotion may be extended in 120 day increments.
Work schedule
Full-time
Service
Excepted
Promotion potential
15
Job family (Series)
Supervisory status
Yes
Security clearance
Other
Drug test
No
Position sensitivity and risk
High Risk (HR)
Trust determination process
Announcement number
25-IN-12755878-KLC
Control number
839872200

This job is open to

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Clarification from the agency

This position is open to: Current Exams employees.

Duties

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The mission of the Division of Examinations 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:

  • Direct employees responsible for working and/or consulting with a variety of individuals in the conduct of legislated programs;
  • Produce well-constructed written reports and presentations whose audience includes senior staff from across the Division and the SEC;
  • Serve as a member or supervisor of an examination team in an audit or examination program of a federal, state or regulatory body in the securities or financial services industry;
  • Operate or oversee examinations based on the surveillance or assessment of investment companies, investments advisers, broker dealer, SROs, clearing agencies, municipal advisors, and transfer agents and their associated persons to determine level of compliance with federal/state securities laws and regulations;
  • Assign work, taking into account skills and abilities of the staff and monitoring work performance;
  • Provide expert analysis and review of activities related to the federal securities law requirements for investment companies/investments advisers, broker dealer, SROs, clearing agencies, municipal advisors, and transfer agents and their associated persons; and
  • Assist and lead in developing or enhancing existing tools, data sets and applications that assist the Division in executing its risk-based examination approach.

Vacancies are available in the following EXAMS' programs and duty locations:
  • IAIC Fort Worth
  • IAIC New York
  • IAIC Philadelphia
  • IAIC San Francisco

Requirements

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Conditions of employment

  • CITIZENSHIP: You must be a US Citizen.
  • You must possess a J.D. or LL.B Degree and You must be an active member of the bar in good standing.
  • Application procedures are specific to this vacancy announcement. Please read all the instructions carefully. Failure to follow the instructions may result in you not being considered for this position.
  • Multiple selectees may be identified to rotate through the position in 120-day increments. Individuals may serve on multiple rotations.
  • Consistent with 5 U.S.C. ยง 7511, you will be required to serve a two-year trial period (one year for preference eligible veterans) if the position to which you have applied is not the same or similar to your current position of record.
  • SECURITY CLEARANCE: Entrance on duty is contingent upon completion of a pre-employment security investigation. Favorable results on a Background Investigation may be a condition of employment or selection to another position.
  • DRUG TESTING: This position may be subjected to drug testing requirements.
  • PERMANENT CHANGE OF STATION (PCS): Moving/Relocation expenses are not authorized.
  • DIRECT DEPOSIT: All Federal employees are required to have Federal salary payments made by direct deposit to a financial institution of their choosing.
  • This position is not in the collective bargaining unit.
  • This is a temporary promotion not-to-exceed 120 days from the date of appointment to the position. The temporary promotion may be extended in 120 day increments but may not lead to a permanent position.
  • This appointment may end at any time during the course of the appointment at the discretion of management.
  • If selected, you may receive a salary increase for the duration of the temporary promotion. You will be returned to your original salary at the end of the appointment.
  • If selected, you will accrue 8 hours of annual leave per pay period for the duration of the temporary promotion. You will be returned to your original annual leave accrual at the end of the appointment.
  • SUPERVISORY TRIAL PERIOD: This appointment may require completion of a two-year supervisory trial period.
  • Selectee will be required to physically report to the SEC office/duty station in the announcement.
  • Supplementary vacancies may be filled in addition to the number stated in this announcement.

Qualifications

All qualification requirements must be met by the closing date of this announcement.

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-15: Applicant must have one year of specialized experience equivalent to the GS/SK-13 level. Specialized experience includes:
  1. Providing legal guidance involving the review and evaluation of procedures, records and practices of broker-dealers, clearing agencies, transfer agents, municipal advisers, investment advisers, investment companies, security-based swap dealers, or self-regulatory organizations; AND
  2. Preparing reports of findings; and/or leading teams of staff with varying backgrounds (e.g., legal, accounting, examining); AND
  3. Identifying emerging risks and issues affecting financial institutions, market intermediaries, and participants and producing written reports.

Education

FOREIGN EDUCATION: If you are using education completed in foreign colleges or universities to meet the qualification requirements, you must show the education credentials have been evaluated by a private organization that specializes in interpretation of foreign education programs and such education has been deemed equivalent to that gained in an accredited U.S. education program; or full credit has been given for the courses at a U.S. accredited college or university. For further information, visit: http://www.ed.gov/about/offices/list/ous/international/usnei/us/edlite-visitus-forrecog.html

Additional information

Salary Ranges

  • Fort Worth, TX
    • $152,687 - $263,548
  • New York, NY
    • $165,512 - $285,686
  • San Francisco, CA
    • $175,579 - $289,400
  • Washington DC
    • $160,701 - $277,382


IMPORTANT INFORMATION FOR SURPLUS OR DISPLACED FEDERAL EMPLOYEES: Career Transition Assistance Plan (CTAP) is available to individuals who have special priority selection rights under this plan. Individuals must be minimally qualified for this position to receive consideration for special priority selection. CTAP eligibles will be considered minimally qualified if they meet the minimum requirements for this position.

Reasonable Accommodation: If you are an applicant who needs a reasonable accommodation to participate in the SEC application process due to a medical disability, please contact reasonableaccommodation@sec.gov. For religious-based accommodations, please contact religiousaccommodation@sec.gov . Please be sure to submit your request at least 5 business days in advance of the date you need the requested accommodation.

Equal Employment Opportunity (EEO) Information for SEC Job Applicants: Federal EEO laws protect all applicants from discrimination on the following bases: race, color, religion, sex, pregnancy, national origin, political affiliation, sexual orientation, marital status, disability, genetic information, age, membership in an employee organization, retaliation, parental status, military service or other non-merit factor. Applicants who believe they have been discriminated against on any EEO basis can seek recourse through the SEC's administrative complaints process. To be timely, an individual must enter the EEO process within 45 days from when they know (or should have known) of the alleged discrimination. Click here for additional information.

The Fair Chance Act prohibits specific inquiries concerning an applicant's criminal or credit background unless the hiring agency has made a conditional offer of employment to the applicant. An applicant may submit a complaint, or any other information, to the agency within 30 calendar days of the date of alleged non-compliance by contacting the Legal and Policy Office in the Office of Human Resources at ElliottT@sec.gov.

How you will be evaluated

You will be evaluated for this job based on how well you meet the qualifications above.

All applicants will be notified of their application status once the vacancy announcement has closed. Applicants that have a tentative eligible rating will be referred to the hiring office for review.

The resume review panel, designated by the hiring office, will review your application, including the Assessment Questionnaire. Your resume must support your responses to the Assessment Questionnaire and demonstrate your qualifications for the position. Additional application materials submitted outside of the USAJOBs system or after the position is closed will not be accepted, unless requested by the hiring office as part of the evaluation process (e.g. writing sample).

Once the resume review panel has completed their review of all applicants, they will recommend the top candidates for interview. The hiring office will schedule the interview(s) directly with the recommended candidates.

When the selection is made, applicants will be sent a referral status notification and a final disposition notification.

Applicants will be evaluated on the following competencies :
Leadership, Legal Guidance, Securities Laws and Compliance Guidance, and Technical Communication

The Occupational Questionnaire will take you approximately 10 minutes to complete. To preview the Occupational Questionnaire, click the following link https://apply.usastaffing.gov/ViewQuestionnaire/12755878.

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