supervisory attorney-adviser

Found in: beBee jobs US - 2 weeks ago


Los Angeles, California, United States Non-Departmental Agency Full time
Summary

The Office of Risk and Strategy (ORS) within the Division of Examinations is hiring a Supervisory Attorney Adviser in Atlanta, GA, Boston, MA, Chicago, IL, Denver, CO, Fort Worth, TX, Los Angeles, CA, Miami, FL, New York, NY, Philadelphia, PA, Salt Lake, UT,San Francisco, CA, or Washington, DC. This position will oversee an office responsible for risk identification and data and analytical projects.



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 risk identification, data and analytical projects - both created within the Office of Risk Analysis and Surveillance and as part of larger Commission-wide work streams with internally created and commercially available products.

As a Supervisory Attorney Adviser, you will:

  • Direct employees responsible for working and/or consulting with a variety of individuals in the conduct of legislated programs;
  • Produce well-constructed written reports and presentations whose audience includes senior staff from across the Division and the SEC;
  • Serve as a member or supervisor of an examination team in an audit or examination program of a federal, state or regulatory body in the securities or financial services industry;
  • Operate or oversee examinations based on the surveillance or assessment of investment companies, investments advisers, broker dealer, SROs, clearing agencies, municipal advisors, and transfer agents and their associated persons to determine level of compliance with federal/state securities laws and regulations;
  • Assign work, taking into account skills and abilities of the staff and monitoring work performance;
  • Provide expert analysis and review of activities related to the federal securities law requirements for investment companies/investments advisers, broker dealer, SROs, clearing agencies, municipal advisors, and transfer agents and their associated persons; and
  • Assist and lead in developing or enhancing existing tools, data sets and applications that assist the Division in executing its risk-based examination approach.

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