Exam Manager

Securities and Exchange Commission; United States; On-site; USD 140,000 - 190,000; Full time

Job summary

The Securities and Exchange Commission's Division of Examinations seeks a Supervisory Attorney‑Adviser (Exam Manager) to oversee exam activities and provide legal guidance on federal securities laws for regulated entities. The role supports nationwide examination programs and coordinates with staff across disciplines. Qualified applicants will have a J.D.

or LL.B. degree and active bar admission, plus at least one year of specialized experience at the SK-15 level or equivalent, including

Qualifications

• J.D. or LL.B. degree with active bar membership in good standing is required.
• Experience advising on federal securities laws related to regulated entities is preferred.
• Ability to lead teams of staff with diverse backgrounds and coordinate examinations.

Responsibilities

• Provide legal advice on securities laws as they relate to examinations of financial entities.
• Lead teams of attorneys and exam staff to conduct nationwide examinations.
• Identify emerging risk areas affecting market participants and intermediaries.

Skills

Legal expertise

Exam management

Team leadership

Critical thinking

Information gathering

Education

J.D. or LL.B. degree

Bar admission in good standing

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:

• 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;
• Preparing reports of findings; and/or leading teams of staff with varying backgrounds (e.g., legal, accounting, examining);
• 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.