Strategic Risk & Compliance Leader

U.S.-Securities-and-Exchange-Commission; Los Angeles (CA); On-site; USD 140,000 - 190,000; Full time

Job summary

The Division of Examinations at the U.S. Securities and Exchange Commission seeks a Senior Officer - Chief Risk and Strategy Officer to lead risk assessment and strategic planning across examination programs.

This role is open to the public and may be located in Atlanta, GA, Boston, MA, Chicago, IL, Denver, CO, Fort Worth, TX, Los Angeles, CA, Miami, FL, New York, NY, Philadelphia, PA, San Francisco, CA, or Washington, DC.

Qualifications

• J.D. or LL.B. degree required.
• Active membership of the bar in good standing in any state or territory.
• At least four years of post-J.D. work experience identifying legal issues and preparing complex legal documents.
• Three years of specialized experience: examinations of broker-dealers, transfer agents, investment companies/advisers, and AIFs/SROs; risk assessment; and leading teams.

Education

J.D. or LL.B. degree

Job description

The Division of Examinations at the U.S. Securities and Exchange Commission seeks a Senior Officer - Chief Risk and Strategy Officer to lead risk assessment and strategic planning across examination programs.

This role is open to the public and may be located in Atlanta, GA, Boston, MA, Chicago, IL, Denver, CO, Fort Worth, TX, Los Angeles, CA, Miami, FL, New York, NY, Philadelphia, PA, San Francisco, CA, or Washington, DC.