Attorney-Adviser

Securities and Exchange Commission

Los Angeles (CA)

On-site

USD 86,000 - 208,000

Full time

14 days+

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Job summary

Securities and Exchange Commission seeks an early career Attorney-Adviser in the Office of Broker-Dealers (BDX) across multiple locations. The role supports examinations, research, and policy-related reviews to protect investors and ensure market integrity.

Applicants must provide transcripts, and education credentials must be evaluated for foreign education if applicable. Salary range posted to $86,471–$207,573 per year with eligibility under Public hiring path.

Qualifications

Transcripts or other documentation to support education claims required.

Responsibilities

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 documents related to compliance; reviewing 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.

Job description

Hiring Agency: Securities and Exchange Commission
Department: Other Agencies and Independent Organizations

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.

Key Responsibilities

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;
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.

Requirements & Education

You MUST provide transcripts or other documentation to support your educational claims. Unless otherwise stated: (1) official or unofficial transcripts are acceptable, or (2) you may submit a list with all your courses, grades, semester, year, and credit for the course. If you are qualifying for this position by substituting education or training for experience, you must submit a copy of your unofficial transcripts or equivalent by the closing date of the announcement.

Qualifying education must have been obtained from an accredited college or university recognized by the U.S. Department of Education. Internal Applicants: OHR will verify education qualifications for internal applicants using documents in the Electronic Official Personnel Folder (eOPF). If required transcripts or certificates are not present in your eOPF, you will be required to provide them to OHR.

If selected, a start date will not be established until official transcripts are received. FOREIGN EDUCATION: If you are using education completed in foreign colleges or universities to meet the qualification requirements, you must show the education credentials have been evaluated by a private organization that specializes in interpretation of foreign education programs. For more information, click here.

Applicants may also find the following helpful: National Association of Credential Evaluation Services (NACES) is an association of 19 credential evaluation services with admission standards and an enforced code of good practice. Association of International Credentials Evaluators (AICE) is an association of 10 credential evaluation services with a board of advisors and an enforced code of ethics.

Which agency is hiring for this position?

This position is with Securities and Exchange Commission, Other Agencies and Independent Organizations.

What is the salary for this position?

The posted pay range is $86471 - $207573/yr.

What security clearance is required?

This position requires a Other security clearance.

What is the application deadline?

Applications close on 2026-11-30.

Who is eligible to apply?

This position is open under the 'Public' hiring path.