SUPERVISORY ATTORNEY ADVISER

Position: SUPERVISORY ATTORNEY ADVISER

Location: BRO, CHRO, DRO, LARO, NYRO, PLRO, SFRO, HQ, SLRO, ARO, FWRO, MIRO

Salary: $131,270 - $272,100 per year

Open & closing dates: 08/04/2023 to 08/17/2023

Job Link: https://www.usajobs.gov/job/741485800

Summary
This position is in the Technology Controls Program (TCP) within the Division of Examinations and will be located in either Chicago, IL, New York, NY, or Washington, DC. TCP has primary responsibility for oversight and technology examinations of self-regulatory organizations as well as for broker-dealers and investment advisers.

Conditions of Employment

CITIZENSHIP: This position is open to US Citizens.

You must possess a J.D. or LL.B Degree.

You must be an active member of the bar in good standing

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 Technology Controls Program within the Division of Examinations is filling one Supervisory Attorney-Adviser, SK-905-15 position located in Atlanta, GA, Boston, MA, Chicago, IL, Denver, CO, Ft. Worth, TX, Los Angeles, CA, Miami, FL, New York, NY, Philadelphia, PA, Salt Lake City, UT, San Francisco, CA or Washington, DC.. This position will lead a branch of examiners.

If selected, you will join a well-respected team in the Division of Examinations that is responsible for the examination of firms engaged in the use of crypto asset securities.

Typical duties include:

Managing a team of examiners with various levels of experience and professional backgrounds to conduct examinations of securities-related financial institutions registered with the SEC such as broker-dealers and investment advisers;

Executing risk-based examination plans, which frequently involves: (i) analyzing registrant's operations and procedures, trading practices, supervisory systems, risk management systems, books and records, and financial statements, (ii) investigating new financial products, and/or(iii) interviewing principals of registrants,; and

Developing recommendations and reports, presenting and defending findings, and collaborating as required with key stakeholders of the examination process, including internal divisions and offices (e.g. Division of Trading and Markets and Office of International Affairs), and other US and foreign regulators.

Direct employees responsible for performing examinations, development of analytical tools, and related tasks related to crypto asset securities;

Develop and maintain relationships with other programs in the Division of Examinations, as well as with other SEC Divisions and Offices and other securities regulators;

Conduct interviews of registrant personnel, review examination-related documents, perform research and analysis, and develop recommendations related to findings or issues encountered; and supervise other examination staff performing these duties;

Draft and edit precise and well-organized documents such as risk assessment reports, request lists, examination workpapers and memoranda, and correspondence regarding findings and conclusions;

As required, work with senior staff to develop and respond to questions on processes, procedures, and policy; and

Collaborate with other team members. Work both individually and as part of a team.

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

Additional information and the link to the application can be found here:

https://www.usajobs.gov/job/741485800