Securities Compliance Examiner - Risk Strategist

SEC; San Francisco (CA); On-site; USD 120,000 - 150,000; Full time

Job summary

The Securities and Exchange Commission (SEC) is seeking a Securities Compliance Examiner (Risk Strategist) to conduct risk analyses and analytical studies across broker-dealers, investment advisers and investment companies. The role emphasizes identifying emerging risks, briefing senior management, and developing actionable recommendations.

Applicants must meet the minimum qualification requirement and ensure all required materials are submitted by the closing date.

Qualifications

• Specialized experience identifying risks across broker-dealers, clearing agencies, transfer agents, municipal advisers, investment advisers, investment companies, security-based swap dealers, private funds or self-regulatory organizations.
• Ability to brief senior management.
• Developing recommendations and/or reports of findings to address and resolve issues in relevant entities.

Skills

Analysis and Risk

Critical Thinking

Information Gathering

Managing Information

Job description

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. Applicants are responsible for confirming all required materials are submitted by the closing date of the announcement. Please check the How You 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.