Position Summary
The Investment Adviser/Investment Company Examination Program within the Division of Examinations is filling a few positions for a Attorney-Adviser, SK-0905-11 or 12 in the following locations:Atlanta, GA; Boston, MA; Chicago, IL; Denver, CO; Ft. Worth, TX; Los Angeles, CA; Miami, FL; New York, NY; Philadelphia, PA; Washington, DC; and San Francisco, CA.
Duties and Responsibilties
The mission of the Division of Examination 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 as an Attorney-Adviser responsible for conducting examinations of investment advisers and investment companies, which involves the interpretation and application of securities laws, regulations, and policies.
As a Attorney-Adviser you will:
Participate in and provide 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; respond to trends in the market; identify areas of the market that merit special attention; and develop new inspection/examination procedures and processes;
Conduct research, reviews and analysis of a variety of documents related to compliance; conduct reviews of customer trading and securities holdings; review firm marketing; and develop 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.
Qualifications and Prior Experience
CITIZENSHIP: This position is open to US Citizens.
You must possess a J.D. or LL.B Degree.
You must be an active member of the bar in good standing
How to Apply
Please apply here.
