Attorney-Adviser, Securities Market Oversight

Securities and Exchange Commission; Los Angeles (CA); On-site; USD 86,000 - 208,000; Full time

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

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.