The Office of Clearance & Settlement within the Division of Examinations is hiring a Supervisory Attorney-Adviser, SK-0905-17 in Chicago, IL. This position will oversee an office responsible for examinations of clearing firms.

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. 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. Typical duties include: Planning, coordinating, and monitoring the activities and functions of the Office of Clearance and Settlement staff in their execution of clearing agency examinations and related activities; Planning and assigning work, advising on program goals and objectives, making decisions on work problems, and organizing and monitoring the flow of work for the assigned programs in order to achieve the most effective results within a complex environment; Serving as senior manager and expert securities compliance examination consultant responsible for a specialized area of expertise, providing direction for the activities of one of the Division of Examinations program offices in the Headquarters or a regional office engaged in the conduct of examinations or inspections; Providing expertise and leadership in risk-based examinations of registered clearing agencies. Incorporating market and regulatory changes into examination activities. Maintaining up to date knowledge and understanding of current concerns for clearing agencies in the areas of credit, market, liquidity, and operational risk. Providing staff with information on industry trends, staff interpretations, and Commission announcements; Serving as adviser and counselor to key executives within the SEC on all matters arising within area for which responsible; Assisting in the collaboration with key stakeholders of the examination process, including internal divisions and offices (e.g. Division of Trading and Markets and Office of International Affairs), and other US regulatory bodies (e.g. Federal Reserve Board); In the capacity of legal adviser and counselor, attending and participating in meetings and conferences where crucial policy formulation, procedural development, and program planning matters are discussed and agency positions developed; and Performing 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. Ensuring established guidelines and performances expectations are communicated, understood, and followed by staff, which may include attorneys, securities examiners, accountants, and others. Carrying 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 EXAMS Wide 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-17
• 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 position is eligible to request telework in accordance with the SEC 's telework policy.
• 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. SK-17: Applicant must have one year of specialized experience equivalent to the GS/SK-14 level. Specialized experience includes the following: Interpreting and applying federal securities laws, rules and regulations; AND Leading teams of staff with varying backgrounds (e.g., legal, accounting, examining); AND Representing an organization at briefings, meetings, or conferences; AND Conducting compliance inspections, examinations, investigations, or audits of broker dealers, clearing agencies, transfer agents, municipal advisers, investment advisers, investment companies and/or other self-regulatory organizations.

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]