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 job opportunity is open to the public.

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

• CITIZENSHIP: 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 TRIAL PERIOD: This appointment may require completion of a two year supervisory/managerial trial period.
• TRIAL PERIOD: Consistent with 5 U.S.C. a7 7511, you will be required to serve a two-year trial period (one year for preference eligible veterans) if the position to which you have applied is not the same or similar to your current position of record.
• You must possess a J.D. or LL.B Degree and you must be an active member of the bar in good standing.
• 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.

BASIC REQUIREMENT: All applicants must possess the following:

• J.D. or LL.B. degree AND
• Active membership of the bar in good standing in any state, territory of the United States, the District of Columbia, or the commonwealth of Puerto Rico. (Note: proof of bar membership will be required before entry on duty.

MINIMUM QUALIFICATION REQUIREMENT: In addition to meeting the basic requirement, applicants must also meet the minimum qualification requirement.

• SO-01: Applicant must have at least four years of post J.D. work experience identifying legal issues, providing legal analyses, recommendations, and preparing complex legal documents, which also includes at least three years of specialized experience:
  
  
  1. Conducting, overseeing or supporting examinations of broker-dealers, transfer agents, investment companies, investment advisers and self-regulatory organizations;
  2. Assessing the compliance, activities and risks of registered securities firms
  3. Managing a team or group that conducts, oversees or supports examinations or audits 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.

Education

You MUST provide transcripts or other documentation to support your educational claims. Unless otherwise stated: (1) official or unofficial transcripts are acceptable, or (2) you may submit a list with all your courses, grades, semester, year, and credit for the course. If you are qualifying for this position by substituting education or training for experience, you must submit a copy of your unofficial transcripts or equivalent by the closing date of the announcement. Qualifying education must have been obtained from an accredited college or university recognized by the U.S. Department of Education. Internal Applicants: OHR will verify education qualifications for internal applicants using documents in the Electronic Official Personnel Folder (eOPF). If required transcripts or certificates are not present in your eOPF, you will be required to provide them to OHR. If selected, a start date will not be established until official transcripts are received.

FOREIGN EDUCATION: If you are using education completed in foreign colleges or universities to meet the qualification requirements, you must show the education credentials have been evaluated by a private organization that specializes in interpretation of foreign education programs. For more information, click here.

Applicants may also find the following helpful:

National Association of Credential Evaluation Services (NACES) is an association of 19 credential evaluation services with admission standards and an enforced code of good practice.

Association of International Credentials Evaluators (AICE) is an association of 10 credential evaluation services with a board of advisors and an enforced code of ethics.

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 click here for a compensation overview.

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.