The Broker-Dealer and Exchange Examination Program (BDX) within the Division of Examinations is hiring a Supervisory Attorney-Adviser in Washington, DC. This position will oversee an office responsible for examinations of broker-dealers, municipal advisors, transfer agents, funding portals, and exchanges.

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 in the Division that is responsible for providing expert examination guidance and leadership for sensitive and complex programs, issues, and problems dealing with examination or inspection activities for areas of program emphasis such as broker-dealers, municipal advisors, transfer agents, self-regulatory organizations, and funding portals. As a Supervisory Attorney-Adviser, you will: Plan and assign work, advise on program goals and objectives, make decisions on work problems, and organize and monitor the flow of work for the assigned programs in order to achieve the most effective results within a complex environment; Direct staff performing extensive and extremely complex inspections or examinations, work with the field offices, review reports and recommendations, provide advice on novel questions, analyze industry trends, and follow-up to ensure that recommendations are implemented by the industry; In the capacity of legal adviser and counselor, attend and participate in meetings and conferences where crucial policy formulation, procedural development, and program planning matters are discussed and agency positions developed; Provide executive leadership and management of the staff and work products by maintaining and exhibiting knowledge, insight, and understanding of the assigned specialized segment of the market; monitor new or unchartered marketing or financial techniques and developments that impacts SEC decisions; and Represent the agency in high level meetings, conferences, and presentations involving a wide range of participants such as regulatory or law enforcement agencies; state, local, national, or international government offices; private industry; and the academic community.

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. MINIMUM QUALIFICATION REQUIREMENT: In addition to meeting the basic requirement, applicants must also meet the minimum qualification requirement. SK-17: Applicant must have one year of specialized experience equivalent to the GS/SK-14 level. Specialized experience includes: 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]