Duties

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In this role as a Dealer Risk Management Analyst, you will be responsible for:

• Reviewing Internal Risk Controls - Analyzing internal risk management frameworks covering market, credit, leverage, liquidity, legal, and operational risks at Alternative Net Capital (ANC) firms, OTC Derivatives Dealers (OTCDDs), and Security-Based Swap Dealers (SBSDs) to assess their effectiveness in managing firm-wide exposures.
• Analyzing Financial & Risk Filings - Reviewing and evaluating monthly, quarterly, and annual regulatory filings containing financial, risk management, and operational data submitted by ANC firms, OTCDDs, and SBSDs.
• Engaging Senior Risk Managers - Participating in regular meetings with firm senior risk managers to review business unit risk-taking activities, aggregate risk metrics, independent risk control functions, and control processes supporting enterprise-wide risk management.
• Supporting Agency Decision-Making - Compiling findings, preparing written reports and oral presentations, and contributing analytical support that directly informs SEC leadership recommendations and regulatory actions.
• Representing the Agency - Interacting with industry representatives and peers at other federal and international agencies to coordinate research, resolve issues, and support the effective operations of your assigned organization.

Requirements

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Conditions of employment

• CITZENSHIP: You must be a US Citizen.
• SELECTIVE SERVICE: Males born after 12/31/59 must be registered or exempt from Selective Service (see https://www.sss.gov/)
• SECURITY CLEARANCE: Entrance on duty is contingent upon completion of a pre-employment security investigation. Favorable results on a Background Investigation may be a condition of employment or selection to another position.
• DRUG TESTING: This position may be subjected to drug testing requirements.
• PERMANENT CHANGE OF STATION (PCS): Moving/Relocation expenses are not authorized.
• DIRECT DEPOSIT: All Federal employees are required to have Federal salary payments made by direct deposit to a financial institution of their choosing.
• PROBATIONARY PERIOD: This appointment may require completion of a one-year probationary period.
• The selectee is required to report to the duty station(s) listed.

Qualifications

Applicants are responsible for confirming all required materials are submitted by the closing date of the announcement. Please check the HowYou Will Be Evaluated and Required Documents sections carefully, as missing documents will render the application incomplete and ineligible for review.

Qualifying experience may be obtained in the private or public sector. Experience refers to paid and unpaid experience, including volunteer work done through National Service programs (e.g., Peace Corps, AmeriCorps) and other organizations (e.g., professional, philanthropic, religious, spiritual, community, student, social). Volunteer work helps build critical competencies, knowledge, and skills and can provide valuable training and experience that translates directly to paid employment. You will receive credit for all qualifying experience, including volunteer experience. All qualification requirements must be met by the closing date of this announcement.

MINIMUM QUALIFICATION REQUIREMENT:

SK-12: Applicant must have at least one year of specialized experience equivalent to the GS/SK-11 level:

1. Developing tools, applications, and approaches to interpret results for monitoring financial or operational risks;
2. Analyzing financial statements and risk metrics related to financial institutions; AND
3. Communicating technical information in written and oral formats.

ACCOMPLISHMENT RECORD COMPETENCIES: Your Accomplishment Record narratives should address the following competencies. See the How You Will Be Evaluated section below for more information:

Competency 1: Legal and Regulatory Analysis: Conducts analysis and prepares documents and reports in compliance with Federal law that governs the rulemaking process.

Competency 2: Workload Management: Effectively prioritizes workload in a way that accommodates unforeseen developments and achieves successful outcomes.

Competency 3: Critical Thinking: Considers a variety of factors, general and subject matter-specific, when making decisions and determining next steps in a case.

Competency 4: Teamwork and Collaboration: Interacts with internal and external others in a manner that advances SEC goals and objectives.

Additional information

Supplementary vacancies may be filled in addition to the number stated in this announcement and may be filled from any division or office within the agency.

SEC COMPENSATION PROGRAM: Total salary (base pay + locality) is dependent upon duty location. The overall salary range listed above is provided for informational purposes; a selectee's initial pay will be established below the maximum rate of the range. The pay for current SEC employees will be determined according to the procedures specified in the agency's policy. Please visit the agency's Compensation Overview page for more information.

Benefits

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A career with the U.S. government provides employees with a comprehensive benefits package. As a federal employee, you and your family will have access to a range of benefits that are designed to make your federal career very rewarding. Opens in a new windowLearn more about federal benefits.

Review our benefits

Eligibility for benefits depends on the type of position you hold and whether your position is full-time, part-time or intermittent. Contact the hiring agency for more information on the specific benefits offered.