The Division of Examinations administers the SEC's nationwide examination and inspection program for investment advisers, investment companies, broker-dealers, transfer agents, clearing agencies, registered self-regulatory organizations, and nationally recognized statistical rating organizations.
The Attorney-Adviser position is in the investment adviser/investment company examination program of the Division of Examinations.
These positions are in the Denver Regional Office located in Denver, CO and the San Francisco Regional Office located in San Francisco, CA.
If selected, you will join a well-respected team as an Attorney-Adviser responsible for conducting examinations of investment advisers and investment companies, which involves the interpretation and application of securities laws, regulations, and policies.
Typical duties include:
- Participating in and providing technical assistance and support to examination or inspection activities for investment advisers and investment companies.
- 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.
- 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.
Occasional travel - Travel averages 5 days a month.