The PCAOB oversees the audits of public companies and SEC-registered brokers and dealers in order to protect investors and further the public interest in the preparation of informative, accurate, and independent audit reports.
Job Description Summary
The PCAOB has a full-time regular position of Senior Counsel in the Division of Enforcement and Investigations (DEI) in its New York, NY regional office or Washington, D.C. 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 PCAOB, 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, investigative, and verbal and written communication skills.
- 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, including investigations involving multiple or complex violations;
- Reviewing and analyzing audit working papers, corporate books and records, and other financial and accounting documents;
- Conducting interviews and testimony independently and in teams;
- 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 and the Board;
- Assisting in the management of investigative timelines and achievement of milestones to ensure investigations are conducted in an efficient and timely manner;
- Making recommendations to the Board related to enforcement actions; and
- Litigating in administrative proceedings before hearing officers and before the Board.
- 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 required, with a preference for experience related to financial fraud matters and/or securities litigation;
- Current CPA (Certified Public Accountant) license 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.
As we seek to accomplish our mission and implement our vision, we expect integrity, pursue excellence, operate with effectiveness, embrace collaboration, and demand accountability.
Equal Employment Opportunity
All PCAOB employees are entitled to equal opportunity and a professional work environment, free of discrimination and harassment. A workplace free of discrimination is fundamental to professional success and to the PCAOB’s mission. The PCAOB will consider for employment all qualified applicants with criminal histories in a manner consistent with applicable law.