Securities Compliance Examiner - Risk Strategist

Summary

The Division of Examinations (EXAMS) is seeking an a Securities Compliance Examiner (Risk Strategist), SK-1831-16 in the Office of Investment Advisers and Investment Companies (IA/IC).

As a Risk Strategist, you will conduct risk analysis and analytical studies of broker-dealers or investment advisors and investment companies.

Duties

As a Risk Strategist, you will be responsible for:

• Providing expert advice and assistance to senior managers and teams as to the planning, conducting, and defining the scope examinations in the form of clear summaries and both verbal and written presentations;
• Applying extensive knowledge of the broker dealer or investment advisory/investment company industry or securities compliance examinations in the conduct of risk analysis of entities being (or potentially being) examined by the agency; monitor risks by utilizing information from a wide range of tools and methods including expansive databases, models, and industry publications and experts; and analyze and evaluate data, identifying trends, concerns, emerging risks to suggest focus areas for agency priorities, initiatives and examinations;
• Maintaining a strong awareness of regulatory changes and evolving industry standards to ensure examination strategies remain current;
• Being an expert resource working with senior management and staff, assisting with developing and refining the examination plans in response to emerging market intelligence and changes in the population of registrants; conduct surveillance activities on the broker dealer or investment advisor/investment company population; establish risk-based selection methodologies for identification of exam candidates; identify factors for selection of entities for risk-based examinations; analyze and evaluate tips and complaints; and monitor program for alignment with priorities and progress toward goals;
• Planning, organizing, and carrying through to completion analytical studies and special projects of a breath and intensity requiring subject matter expertise and in-depth knowledge of the assigned area as well as an awareness of the most recent and novel trends in the industry;
• Collaborating with other risk strategists to provide analysis and input on internal risk assessment policies and procedures and make suggestions for enhancements to promote consistency, policy effectiveness and improve operational efficiencies;
• Identifying, analyzing, and communicating intelligence on unique and novel issues to exam staff and senior management; and
• Contributing to training efforts by assisting with internal trainings to broaden staff expertise.

Requirements

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.
• Typical Examiner Travel: Examination staff routinely travel to the offices of registered entities to conduct on-site inspections of facilities, to meet with and interview entity personnel, and to examine certain business records.

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-16: Applicant must have at least one year of specialized experience equivalent to the GS/SK-14 level. Specialized experience includes:

1. Analyzing data and information to identify emerging risks related to broker-dealers, clearing agencies, transfer agents, municipal advisers, investment advisers, investment companies, security-based swap dealers, private funds or self-regulatory organizations; AND
2. Providing briefings to senior management.; AND
3. Developing recommendations and/or reports of findings to address and resolve issues related to broker-dealers, clearing agencies, transfer agents, municipal advisers, investment advisers, investment companies, security-based swap dealers, private funds or self-regulatory organizations.

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: Analysis and Risk Assessment - Analyzes information to assess an entity's level of risk for deficiencies in various focus areas.
• Competency 2: Critical Thinking - Considers a variety of factors, general and subject matter-specific, when making decisions and determining next steps in a case.
• Competency 3: Information Gathering - Ability to gather and process large amounts of information and make connections to understand possible deficiencies.
• Competency 4: Managing Information - Ability to ensure that programs strategically utilize and share information, with some guidance.

Education

This job does not have an education qualification requirement.

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

Help

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.

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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.