Description:
Role Summary:A Nonprofit Corporation has a full-time, regular position of Counsel in the Division of Enforcement and Investigations (DEI) in its New York, NY regional office or Washington, DC headquarters office. DEI investigates and, where appropriate brings enforcement actions against, registered firms and their associated persons for violations of the Sarbanes-Oxley Act of 2002, the rules of the A Nonprofit Corporation, provisions of the securities laws relating to the preparation and issuance of audit reports and the obligations and liabilities of accountants with respect thereto, including the rules of the U.S. Securities and Exchange Commission issued under the Sarbanes-Oxley Act of 2002, or professional standards. This attorney role requires strong analytical and verbal and written communication skills.
Responsibilities:
- Planning, organizing, and conducting investigations of possible violations of the Sarbanes-Oxley Act of 2002, the rules of the PCAOB, relevant provisions of the securities laws, or professional standards;
- Reviewing and analyzing audit working papers, corporate books and records, and other financial and accounting documents;
- Conducting interviews and testimony with supervision;
- Identifying accounting, auditing, and financial reporting deficiencies and synthesizing evidence to support enforcement recommendations;
- Drafting legal memoranda, persuasive briefs, and enforcement-related documents for Division staff;
- Assisting investigative team in making recommendations to the Board related to enforcement actions; and
- Litigating, with supervision, in administrative proceedings before hearing officers and before the Board.
Qualifications:
Education/Technical Expertise:
- Minimum of 7+ years of legal experience with progressively responsible legal experience sufficient to handle complex legal and accounting/auditing issues;
- Juris doctor (JD) from an accredited law school in the United States;
- Active member of the Bar;
- Investigative, litigation, or trial experience related to financial fraud matters and/or securities litigation preferred but not required;
- Strong technical abilities, regulatory knowledge, leadership, and verbal and written communications skills;
- Ability to work independently and as a member of a team;
- Multilingual ability is a plus, and
- Ability to travel some.
