The mission of the U.S. Securities and Exchange Commission (SEC) is to protect investors, maintain fair, orderly, and efficient markets, and facilitate capital formation. The Office of Investment Adviser/Investment Company within the U.S. Securities and Exchange Commission’s Office of Compliance Inspections and Examinations (OCIE) is hiring attorneys with varying level of experience. These positions are based in Washington, DC.
OCIE’s Office of Investment Adviser/Investment Company
The Office of Investment Adviser/Investment Company within OCIE is responsible for examining the investment advisers, private funds, and mutual funds. Specific topics of examinations can include: safety of assets, conflicts of interests, marketing/performance, quantitative analytics and other asset management priorities as identified by leadership. The Office also works with the policy divisions on investment adviser, private fund, and mutual fund rules.
Office of Compliance Inspections and Examinations
OCIE protects investors through administering the SEC’s nationwide examination and inspection program. Examiners in Washington, DC and in the Commission’s 11 regional offices conduct examinations of the nation’s registered entities, including broker-dealers, transfer agents, investment advisers, investment companies, private funds, the national securities exchanges, clearing agencies, the nationally recognized statistical rating organizations, the Financial Industry Regulatory Authority (“FINRA”), the Municipal Securities Rulemaking Board, and the Public Company Accounting Oversight Board. OCIE’s mission 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 examination program plays a critical role in encouraging compliance within the securities industry, which in turn also helps to protect investors and the securities markets generally.
• JD or LLB degree from an accredited Law School
• Active member of a bar in good standing
• Ability to perform compliance examinations of investment advisers, private funds, and mutual funds
• Ability to communicate effectively in writing and verbally
• Minimum 2-3 years’ experience with the Investment Advisers Act and/or the Investment Company Act and other federal securities laws relating to investment advisers, private funds, and mutual funds
• Participate in planning and conducting securities compliance examinations, developing reports of findings, and providing recommendations for examinations.
• Provide advice and technical support for examinations, investigations and enforcement activities.
• Conduct research, review and analyze a variety of documents related to investment adviser, private fund, and mutual fund examinations, and develop recommendations to resolve problems or issues encountered.
• Ability to work both individually and as part of a team.
• Some travel is required.
How to apply
Please send: (1) a cover letter addressed to: “Hiring Committee, Office of Investment Adviser/Investment Company” outlining your relevant background and experience; and (2) a current resume to OCIEResumes@sec.gov no later than June 17, 2015.