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U.S. Securities and Exchange Commission

U.S. Securities and Exchange Commission
Attorneys in the Office of Compliance Inspections and Examinations

U.S. Securities and Exhange Commission
Office of Compliance Inspections and Examinations, General Attorney
(Securities Industry or Finance)

Hiring Office

The Office of Compliance Inspections and Examinations is responsible for conducting inspections of the stock exchanges, the Nasdaq, broker-dealers, investment companies and advisors, and transfer agents for compliance with federal securities laws and exchange rules. By conducting on-site inspections of regulated entities across the country, this office, together with the examination staff from the SEC's regional and district offices, uncover securities law violations and help prevent future violations. A deficiency letter process allows informal correction of many compliance problems; more serious violations are referred to the Enforcement Division. The office serves as a window to the Commission into developments in the regulated community and provides a real-world basis for important policy decisions. The office's varied oversight functions provides its employees a practical education into the workings of the securities markets and allows them to assume substantial responsibility.

Hiring Criteria

Applicants should have excellent writing, verbal, analytical, and interpersonal skills. Applicants must possess a current and active Bar membership and should have an excellent academic record (at least a 3.0 or equivalent GPA, law review, moot court, etc.). Knowledge of the federal securities laws and the securities industry is preferred but not required.

Description of Position

Lawyers in the Office of Compliance Inspections and Examinations conduct on-site inspections of regulated entities, draft inspection reports for review by the Commission, advise examiners and accountants on the legal issues that arise during examinations, work with the Divisions of Market Regulation and Investment Management on proposed rulemaking, and support the Enforcement Division investigations of regulated entities.

Application Procedures

To apply, please send your resume, writing sample (5 10 pages), 3 references, and law school transcript (if less than 5 years experience out of law school) to:

U.S. Securities and Exchange Commission
Attention: Recruiting Specialist/WEBOCIE
450 5th Street NW, Room 1122, MS/01-03
Washington, DC 20549

Please be sure to indicate the following information on your resume or cover letter: date of birth; social security number, the state in which you possess active Bar membership; and country of citizenship.


Salary is commensurate with experience, but ranges up to $114,885 per annum.

Reference: WEBOCIE


Modified: 01/21/2003