Senior Officer-Chief Risk and Strategy Officer

Summary

The Division of Examinations is seeking a Senior Officer - Chief Risk and Strategy Officer. This position may be located in Atlanta, GA, Boston, MA, Chicago, IL, Denver, CO, Fort Worth, TX, Los Angeles, CA, Miami, FL, New York, NY, Philadelphia, PA, San Francisco, CA, or Washington, DC. This position is open to federal employees in permanent competitive service positions (i.e. status candidates).

Duties

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The Chief Risk and Strategy Officer (CRSO) leads the Office of Risk and Strategy (ORS), the Division's strategic information hub for monitoring and risk identification of the registrant community. ORS informs the Division's strategy, planning, candidate selection, and scoping through its risk analytics, large firm monitoring, incident response, financial intelligence, emerging risk research, data-analytic tool development, and quantitative exam support. The CRSO also represents the Division in agency-wide governance and integrates ORS's capabilities across EXAMS and with other SEC divisions and offices.

Duties include:

• Oversee ORS's core functions, including risk analytics and exam candidate identification, ongoing monitoring of select large firms, incident response, financial intelligence, emerging-risk research, development of data analytics tools, and quantitative exam support.
• Advance a data-driven, risk-based national examination program. Advise senior Division leadership on registrant, industry, and market risks and how they may shape examination priorities, strategy, and resource allocation.
• Promote effective integration across the Division's examination program areas, supporting consistent sharing and use of risk information, analytics, and monitoring insights in examination planning and execution. Align ORS resources and capabilities with the needs of each program area.
• Represent the Division on agency-wide governance bodies, committees, and working groups, including those addressing risk, data, technology, and strategic planning.
• Coordinate with external regulators, self-regulatory organizations, and other stakeholders on risk monitoring, information sharing, and significant market or registrant events.

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.
• SUPERVISORY PROBATIONARY PERIOD: This appointment may require completion of a two year supervisory/managerial probationary period.
• 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

Time-in-grade for this announcement is one year at the GS/SK-14 level.

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:

SO-01: Applicant must possess at least one full year of specialized experience equivalent to at least the GS-14/SK-14 level in the federal government. Specialized experience is defined as:

1. Conducting, overseeing, or supporting examinations, audits, or reviews of broker-dealers, transfer agents, investment companies, investment advisers or self-regulatory organizations;
2. Assessing the compliance, activities or risks of registered securities firms;
3. Managing a team or group that conducts, oversees, or supports examinations, audits, or reviews of financial or securities firms; and
4. Providing information and/or assistance with respect to possible violations of federal securities laws and regulations.

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

1. Leading the Organization: Build and support the organization's vision, create strategies to achieve the vision, support and lead innovative and creative initiatives to meet organizational goals.
2. Leading and Developing People: Recruit, lead, develop and manage the workforce, constructively manages differences and potential conflicts between employees, building teams that meet and exceed an organization's mission, strategic plan, and goals.
3. Results Orientation: Meet organizational goals by effectively managing program area, identifying and solving important problems, making sound and timely decisions, and effectively managing and sharing information.
4. Building Coalitions: Build coalitions by partnering with others to build strategic relationships, influencing and negotiating with those in sphere of influence to achieve favorable outcomes for an organization.
5. Analysis and Risk Assessment: Analyzes information to assess an entity's level of risk for deficiencies in various focus areas.
6. Program Management: Ability to develop and run agency programs to deliver results that efficiently and effectively meet SEC's mission, strategic plan and goals.
7. Critical Thinking: Considers a variety of factors, general and subject matter-specific, when making decisions and determining next steps in a case.

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: 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.

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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.