The Broker-Dealer and Exchange Examination Program within the Division of Examinations is hiring multiple positions in the following locations: Chicago, IL, Denver, CO, Miami, FL, New York, NY, and Washington, DC.
If selected, you will join a well-respected team as an Attorney-Adviser responsible for conducting examinations of broker-dealers, national securities exchanges, transfer agents, municipal advisors, the Public Company Accounting Oversight Board and the Securities Investor Protection Corporation.
Typical duties include:
- Participating in and providing technical assistance and support to examination or inspection activities.
- Working as a member of a team with other staff members engaged in conducting examinations; responding to trends in the market; identifying areas of the market that merit special attention; and developing new inspection/examination procedures and processes.
- Conducting research, reviews and analysis of a variety of documents related to compliance; conducting reviews of customer trading and securities holdings; reviewing firm marketing; and developing recommendations to resolve problems in assigned areas of specialization.
- Preparing reports, correspondence, memoranda and other documents summarizing reviews, research and analysis related to registered entities’ compliance with the federal securities laws.
- Initiating and conducting 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.
Conditions of Employment
- 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
- 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-14.
- 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 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.
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-11: a J.D. or LL.B. degree AND be an active member of the bar in good standing in any state, territory of the United States, the District of Columbia, or the commonwealth of Puerto Rico.
SK-12: Applicant must possess at least one year of post-J.D. experience defining legal issues, conducting legal research, and drafting legal documents such as contracts, dispositions, pleadings, and motions. OR One of the following below:
- A second professional law degree (Master of Law/LL.M.);
- Membership on a law school’s journal or law review;
- Membership in the Order of the Coif;
- Graduation in the top 33 percent of law school class;
- One year of significant non-legal work experience in a field related to the position for which the applicant is being considered (e.g., work experience with FINRA or other financial regulatory authority, or other work experience directly applicable to the work of the position for which the attorney is being hired);
- A judicial clerkship following law school graduation; or
- Law Clerk and Legal Intern Appointments
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
To apply for this job please visit www.usajobs.gov.