supervisory attorney-adviser

Found in: beBee jobs US - 3 weeks ago

Miami, Florida, United States Non-Departmental Agency Full time
Summary

The Division of Examinations is hiring a Supervisory Attorney-Adviser in the Miami Regional Office. This position will function as an Exam Manager with responsibility for overseeing examinations of registered broker-dealers; municipal advisors; transfer agents or clearing agencies; self-regulatory organizations investment advisers; investment companies; private equity and hedge funds; and/or other registered entities.



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 working and/or consulting with a variety of individuals conducting examinations;
  • Operate or oversee inspections in regards to surveillance and/or risk management of examinations of registered broker-dealers; municipal advisors; transfer agents or clearing agencies; self-regulatory organizations investment advisers; investment companies; private equity and hedge funds; and/or other registered entities;
  • Serve as a member of an examination team in an audit or examination program of a federal, state or regulatory body in the securities or financial services industry;
  • Assist in the planning for and conducting of examinations of registered broker-dealers; municipal advisors; transfer agents or clearing agencies; self-regulatory organizations investment advisers; investment companies; private equity and hedge funds; and/or other registered entities; and
  • Provide expert analysis and review of activities related to the federal securities law requirements applicable to registered broker-dealers; municipal advisors; transfer agents or clearing agencies; self-regulatory organizations investment advisers; investment companies; private equity and hedge funds; and/or other registered entities.

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