Senior Exam Manager — Securities Compliance Lead

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

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