The Division of Examinations - Miami Regional Office is filling a position for an Supervisory Attorney-Adviser, SK-0905-15 located in Miami, FL.

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. 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 conducting securities compliance examinations, and participate in planning and conducting examinations; Oversee examinations of investment advisers, investment companies, and/or other entities registered with or reporting to the Securities and Exchange Commission; Provide advice and technical support for examinations in areas related to the Investment Advisers Act of 1940, the Investment Company Act of 1940, the Securities Exchange Act of 1934, the Securities Act of 1933, and other laws and regulations related to securities and the financial industry; Conduct interviews of registrant personnel, review examination-related documents, perform research and analysis, and develop recommendations related to findings or issues encountered; and supervise other examination staff performing these duties; Draft and edit precise and well-organized documents such as request lists, examination workpapers and memoranda, and correspondence regarding findings and conclusions; As required, work with senior staff to develop and respond to questions on processes, procedures, and policy; and Collaborate with other team members. Work both individually and as part of a team.

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 MIRO EXAMS employees.
• 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.
• SUPERVISORY TRIAL PERIOD: This appointment may require completion of a two-year supervisory 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 is a temporary promotion not-to-exceed 120 days from date of appointment to the position. May be extended up to one year.
• This appointment may be extended OR it may end at any time during the course of the appointment at the discretion of management. Applicants should also be available for possible extension, if needed.
• 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.
• 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.
• Typical Examiner Travel: Examination staff routinely travel to the offices of registered entities to conduct on-site inspections of facilities, to meet with and interview entity personnel, and to examine certain business records.

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 SK-13 level. Specialized experience includes the following below: 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 agent; 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 Miami Regional Office 801 Brickell Ave Suite 1800 Miami, FL 33131 US
• Name: ask HR
• Email: [email protected]