Attorney-Adviser (New York Regional Office)


Office of Compliance Inspections and Examinations

Position Number:         14-EX-1084260-DQ

Location:                      New York, NY

Compensation:            $102,677.00 to $198,614.00

Grade:                          SK-13/14


The mission of the U.S. Securities and Exchange Commission (SEC) is to protect investors, maintain fair, orderly, and efficient markets, and facilitate capital formation. 

This Attorney-Adviser position is located within the National Examination Program in the New York Regional Office, New York, NY. The Compliance Inspections and Examinations program administers the SEC's nationwide examination and inspection program for registered self-regulatory organizations, broker-dealers, transfer agents, clearing agencies, investment companies, and investment advisers. For more information about the Office of Compliance Inspections and Examinations, please visit

The Attorney-Adviser will be responsible for providing legal advice to staff engaged in the interpretation and application of securities laws, regulations, and policies.  Work assignments may include the following:

Providing expert legal advice for difficult and complex programs, issues and problems dealing with nationwide examination or inspection activities
Developing and preparing guidance on a variety of complex legal issues arising from interpretation and application of statutes administered by the OCIE
Participating in the development of policies or procedures to implement new legal requirements

To Apply:

For important information about this position, including details on duties, qualifications, and how to apply, please visit You must apply for this position by April 16, 2014 through  

If you need additional information contact Jeffery Anoka, Outreach Coordinator, Office of Minority and Women Inclusion (OMWI) at 202-551-6086 or  

The SEC is an Equal Opportunity Employer

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