The Event and Emerging Risk Examination Team (EERT) is hiring a Supervisory Securities Compliance Examiner. The position will oversee a team responsible for working with key stakeholders to develop strategic theme and event-based analyses to identify and address exigent threats, incidents, and emerging risks through examinations.

Duties

At the Securities and Exchange Commission (SEC), we are committed to diversity, equity, inclusion and accessibility (DEIA) and value a workforce that reflects the diverse experiences and perspectives of the communities we serve. As such, we welcome applications from qualified individuals of all backgrounds who share our commitment to public service. This position is in the Event and Emerging Risk Examination Team (EERT) within the Division of Examinations. The EERT is a dedicated, multi-disciplinary team of specialized examiners and industry experts recruited internally from the SEC, and from the financial services industry to help the Division deal with situations precipitated by exigent threats, including incidents that could have a systemic impact or place substantial investor assets at risk. The EERT works with key stakeholders to develop strategic theme and event-based analyses to identify and address exigent threats, incidents, and emerging risks through examinations. As a Supervisory Attorney-Adviser you will: Direct employees responsible for working and/or consulting with a variety of individuals conducting examinations of registered investment advisers, investment companies, broker-dealers, and private fund managers; and conducting interviews of compliance professionals; Address exigent threats, incidents, and emerging risks through the conduct of examinations and inspections, firm engagement meetings, and monitoring activities; Plan and conduct examinations, developing reports of findings, communicating verbally in meetings, drafting detailed findings in reports, and providing advice and recommendations for complex clearing agency examinations; Provide legal advice and leadership in the areas of registrant operations, evaluating internal control processes, performing complex and difficult assignments supporting the mission of the Division of Examinations; and Perform human resource management and administrative functions, relative to the staff supervised, including: hiring and retaining staff, allocating work assignments, conducting performance evaluations, mentoring and training of staff. Ensure established guidelines and performances expectations are communicated, understood, and followed by staff, which may include attorneys, securities examiners, accountants, and others. Carry out Equal Employment Opportunity (EEO) policies, program, and diversity activities.

Requirements

• 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.
• This position is open to current permanent SEC employees ONLY.
• 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.
• Supplementary vacancies may be filled in addition to the number stated in this announcement.
• This position has promotion potential to the SK-15.
• TRIAL PERIOD: This appointment may require completion of a two-year trial period.
• 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 position is eligible to request telework in accordance with the SEC 's telework policy.
• Existing Participants in the SEC?s Remote Telework Program are eligible to apply for this position. If selected, management will evaluate and communicate whether the position will allow for continued participation in Remote Telework.

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 at least three years of post J.D. experience identifying legal issues, providing legal analyses, providing legal solutions/recommendations, and preparing legal documents, such as contracts, dispositions, pleadings, and motions, which also includes at least two years of: Providing legal advice on federal securities laws and compliance issues as they relate to securities-related financial institutions, such as investment advisers, investment companies, broker-dealers, clearing agencies, or transfer agents; AND Preparing reports of findings and/or conclusions; and/or leading teams of staff with varying backgrounds (e.g., legal, accounting, examining) and experience.

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

Contacts

• Address Division of Examinations 100 F Street NE Washington, DC 20549 US
• Name: ask HR
• Email: [email protected]