Attorney-Adviser

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.

In this role as a Attorney-Adviser you will be responsible for:

• Participating in and providing technical assistance and support to examination or inspection activities for broker dealers;
• 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; and
• 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.

• CITIZENSHIP: You must be a US citizen.
• SELECTIVE SERVICE: Males born after 12/31/59 must be registered or exempt from Selective Service (see 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.
• TRIAL PERIOD: Consistent with 5 U.S.C. 7511 you will be required to serve a two-year trial period (one year for preference eligible veterans) if the position to which you have applied is not the same or similar to your current position of record.
• You must possess a J.D. or LL.B Degree and you must be an active member of the bar in good standing.
• The selectee is required to report to the duty station(s) listed.
• 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.
• Duplicative applications to this announcement over the period of time the announcement is open will not be considered.

Applicants are responsible for confirming all required materials are submitted by the closing date of the announcement. Please check the How You Will Be Evaluated and Required Documents sections carefully as missing documents will render the application incomplete and ineligible for review.

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. All qualification requirements must be met by the closing date of this announcement.

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.

• A second professional law degree (Master of Law/LL.M.);
• Membership on a law schools 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

• Competency 1: Examwork - Effectively conducts examwork activities (whether onsite correspondence etc.) in a professional manner to procure information from an entity under examination.
• Competency 2: Legal and Regulatory Analysis- Conducts analysis and prepares documents and reports in compliance with Federal law that governs the rulemaking process.
• Competency 3: : Program Analysis - Examines and analyzes different types of data to assess the organization or program or specific issues within the organization or program and make recommendations
• Competency 4: Information Gathering - Ability to gather and process large amounts of information and make connections to understand possible deficiencies.