OCIE Career Opportunities
May 23, 2019
The mission of the U.S. Securities and Exchange Commission is to protect investors, maintain fair, orderly and efficient markets, and facilitate capital formation.
Office of Compliance Inspections and Examinations
OCIE protects investors through administering the SEC's nationwide examination and inspection program. Examiners in Washington, DC and in the Commission's 11 regional offices conduct examinations of the nation's registered entities, including broker-dealers, transfer agents, investment advisers, investment companies, private funds, the national securities exchanges, clearing agencies, the nationally recognized statistical rating organizations, the Financial Industry Regulatory Authority ("FINRA"), the Municipal Securities Rulemaking Board, and the Public Company Accounting Oversight Board. OCIE’s mission is to protect investors, ensure market integrity and support responsible capital formation through risk-focused strategies that: (1) improve compliance; (2) prevent fraud; (3) monitor risk; and (4) inform policy. The examination program plays a critical role in encouraging compliance within the securities industry, which in turn also helps to protect investors and the securities markets generally.
If you are interested in such opportunities, please make sure you meet the minimum requirements below and follow the guidelines in the “How to apply” section below.
Attorney Advisor Positions
- Participate in planning and conducting securities compliance examinations, developing reports of findings, and providing recommendations for examinations.
- Provide advice and technical support for examinations, investigations and enforcement activities.
- Conduct research, review and analyze a variety of documents related to investment adviser, private fund, and mutual fund examinations, and develop recommendations to resolve problems or issues encountered.
- Ability to work both individually and as part of a team.
- Some travel is required.
- SK-11: Applicant must possess a J.D. degree and be an active member of the bar in good standing (any jurisdiction).
- SK-12: Applicant must possess a J.D. degree and be an active member of the bar in good standing (any jurisdiction). In addition, applicant must have one year post J.D. experience as a practicing attorney OR possess a LLM
- SK-13: Applicant must possess a J.D. degree and be an active member of the bar in good standing (any jurisdiction). In addition, applicant must have two years post J.D. experience as a practicing attorney, one year of which was in the specialty area of the position to be filled and which has equipped the applicant with the particular knowledge, skills, and abilities to successfully perform the duties of the position OR possess a LLM and have one year post LLM experience as a practicing attorney
The United States Government does not discriminate in employment on the basis of race, color, religion, sex (including pregnancy and gender identity), national origin, political affiliation, sexual orientation, marital status, disability, genetic information, age, membership in an employee organization, retaliation, parental status, military service, or other non-merit factor.
Current Available Positions by OCIE Program Area
|Program Office||Position Details|
|Investment Adviser and Investment Company Examination Program (IA/IC)||IA/IC Attorney Adviser|
|Office of Clearance and Settlement (OCS)||OCS Attorney Adviser|