- 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 of IA/IC, BD and transfer agents;
- 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 investment companies/investments advisers, broker-dealers, transfer agents and/or operational surveillance and risk management; and
- Provide expert 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.
supervisory attorney-adviser - New York, United States - Non-Departmental Agency
Description
Summary
The Office of Investment Advisers and Investment Companies (IA/IC) within the Division of Examinations is hiring a Supervisory Securities Compliance Examiner in New York, NY.
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 Securities Compliance Examiner, you will: