Strategic Risk & Compliance Executive

Justia, Inc.; United States; Remote; USD 95,000 - 150,000; Full time

Job summary

U.S. Securities and Exchange Commission is seeking a qualified attorney with strong leadership and regulatory analysis capabilities. The role focuses on supervising examinations of broker-dealers, transfer agents, investment advisers, and self-regulatory organizations, ensuring compliance with federal securities laws and delivering timely, informed analyses.

Applicants should have a J.D. and active bar membership, with at least four years of post-J.D.

Qualifications

• J.D. degree and active bar membership required.
• Four years post-J.D. work experience, including three years in specialized areas.
• Experience examining broker-dealers, transfer agents, investment advisers and SROs; risk assessment of securities firms.

Responsibilities

• Lead examinations and audits of broker-dealers, transfer agents, investment companies and registered securities firms.
• Assess compliance with federal securities laws and regulations.
• Provide information and guidance on potential violations; manage a team performing examinations.

Skills

Leading the Organization

Leading and Developing People

Results Orientation

Building Coalitions

Analysis and Risk Assessment

Program Management

Critical Thinking

Education

J.D. or LL.B.

Job description

U.S. Securities and Exchange Commission is seeking a qualified attorney with strong leadership and regulatory analysis capabilities. The role focuses on supervising examinations of broker-dealers, transfer agents, investment advisers, and self-regulatory organizations, ensuring compliance with federal securities laws and delivering timely, informed analyses.

Applicants should have a J.D. and active bar membership, with at least four years of post-J.D.