Exam Manager

Justia, Inc.; Los Angeles (CA); On-site; USD 140,000 - 170,000; Full time

Job summary

Justia, Inc. seeks a Supervisory Attorney-Adviser (Exam Manager) at the SK-0905-15 level to support the Division of Examinations in coordinating the nationwide examination program for entities regulated by the Commission.

The role demands strong legal judgment, leadership, and the ability to manage complex exam activities. As an Exam Manager, you will provide legal advice on federal securities laws as they relate to broker-dealers, investment advisers, and investment companies; lead diverse

Qualifications

• J.D./LL.B. degree required.
• Active membership of the bar in good standing in any state, territory, D.C., or Puerto Rico.
• At least one year of specialized experience equivalent to the GS/SK-13 level, including providing legal advice on securities laws and leading teams.

Responsibilities

• Provide legal advice on federal securities laws as they relate to securities-related financial institutions.
• Lead teams of staff with diverse backgrounds to conduct examinations.
• Identify emerging risks and issues affecting financial institutions, market intermediaries, and participants.

Skills

Legal analysis

Regulatory compliance

Exam coordination

Team leadership

Education

J.D./LL.B.

Job description

The Division of Examinations is seeking a Supervisory Attorney-Adviser (Exam Manager), SK-0905-15 in the Office of Investment Advisers and Investment Companies (IA/IC), As an Exam Manager, You will join a well-respected team that is responsible for supporting EXAMS' mission to conduct and coordinate the nationwide examination program for entities over which the Commission has regulatory authority.

Qualifying experience may be obtained in the private or public sector. Experience refers to paid and unpaid experience, including volunteer work done through National Service programs (e.g., Peace Corps, AmeriCorps) and other organizations (e.g., professional, philanthropic, religious, spiritual, community, student, social). Volunteer work helps build critical competencies, knowledge, and skills and can provide valuable training and experience that translates directly to paid employment. You will receive credit for all qualifying experience, including volunteer experience. Qualifying education must have been obtained from an accredited college or university recognized by the U.S. Department of Education. All qualification requirements must be met by the closing date of this announcement.

BASIC REQUIREMENT: All applicants must possess the following

• J.D. or LL.B. degree --AND--
• Active membership of the bar in good standing in any state, territory of the United States, the District of Columbia, or the commonwealth of Puerto Rico. (Note: proof of bar membership will be required before entry on duty.

MINIMUM QUALIFICATION REQUIREMENT: In addition to meeting the basic requirement, applicants must also meet the minimum qualification requirement.

SK-15: Applicant must have at least one year of specialized experience equivalent to the GS/SK-13 level:

1. Providing legal advice on federal securities laws and compliance issues as they relate to securities-related financial institutions, such as broker-dealers, clearing agencies, transfer agents, municipal advisers, investment advisers, investment companies, security-based swap dealers, private funds or self-regulatory organizations; AND
2. Preparing reports of findings; and/or leading teams of staff with varying backgrounds (e.g., legal, accounting, examining); AND
3. Identifying emerging risks and issues affecting financial institutions, market intermediaries, and participants.

ACCOMPLISHMENT RECORD COMPETENCIES: Your Accomplishment Record narratives should address the following competencies. See the How You Will Be Evaluated section below for more information:

• Competency 1:Examwork: Effectively conducts examwork activities (whether onsite, correspondence, etc.) in a professional manner to procure information from an entity under examination.
• Competency 2: Information Gathering: Ability to gather and process large amounts of information and make connections to understand possible deficiencies.
• Competency 3: Critical Thinking: Considers a variety of factors, general and subject matter-specific, when making decisions and determining next steps in a case.
• Competency 4: Teamwork and Collaboration: Interacts with internal and external others in a manner that advances examinations and agency goals and objectives.