Attorney-Adviser

The Division of Examinations is seeking a early career Attorney-Adviser, SK0905-11/12 in the Office of Broker-Dealers (BDX), Office of FINRA and Securities Industry Oversight (FSIO) Office of Investment Advisers and Investment Companies (IA/IC) and Office of Clearance Settlement (OCS) and Private Funds Unit (PFU) in various locations.

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.