Legal Career Center

The Division of Examinations - New York Regional Office is filling a position for a Attorney-Adviser, SK-0905-14 located in New York, NY.

The Division of Examinations conducts the SEC's National Exam Program. The Division's mission 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 an Attorney-Adviser you will:

• 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;
• Work 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;
• Conduct 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.
• Prepare reports, correspondence, memoranda and other documents summarizing reviews, research and analysis related to registered entities' compliance with the federal securities laws;
• Assist in the planning for and conducting of examinations of investment; companies/investments advisers, broker-dealers, transfer agents and/or operational surveillance and risk management; and
• Provide expert legal analysis and review of activities related to the federal securities law requirements completed by a clearing agency, an investment adviser, a broker-dealer or an investment company;

Travel Required

Occasional travel - Travel averages 5 days a month.

 Conditions of Employment

• CITIZENSHIP: This position is open to US Citizens.