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U.S. Securities and Exchange Commission

Office of Compliance Inspections and Examinations — Attorney Openings

The SEC's Office of Compliance Inspections and Examinations is seeking resumes from attorneys interested in working in its Office in Washington, DC. This Office plans and conducts on-site oversight inspections of various regulatory programs at self-regulatory organizations (SROs), broker dealers and/or transfer agents. The Office reviews the surveillance, examination, investigative and disciplinary programs of SROs, broker-dealers, and/or transfer agents and other regulatory programs aimed at the protection of individual investors. Attorneys in the Office review and analyze books, records, and financial statements of registrants, prepare inspection reports including findings and recommendations, consult with Commission offices/divisions outside the Office on enforcement matters and other issues within the Office's jurisdiction, work on legislative matters within the Office's jurisdiction, and work on special projects that pertain to securities compliance, securities markets and market participants.

The Office seeks resumes from attorneys who have a J.D. from an accredited law school, are a member of the bar, have a minimum of one year of legal experience, as a member of the bar, in the securities field or in a related financial field, and have excellent writing, communication and analytical skills. Demonstrated experience with and knowledge of the statutes and regulations administered by the Commission, with a particular emphasis on the Securities Exchange Act of 1934, are especially desirable. Interested attorneys should send an e-mail to OCIEResumes@sec.gov and attach: (1) a cover letter addressed to: "Hiring Committee, Office of Compliance Inspections and Examination," outlining your relevant background and experience; and (2) a current resume. Attorneys selected for an interview will be asked to provide a law school transcript, a 5 to 10 page writing sample, and references. Unless your correspondence indicates otherwise, the Office of Compliance Inspections and Examinations is permitted to share your application materials with other SEC Divisions and Offices.

The SEC is an Equal Opportunity employer and actively seeks a diverse workforce.



Modified: 04/30/2008