Senior Officer - Chief Risk and Strategy Officer

Justia, Inc.; United States; Remote; USD 95,000 - 150,000; Full time

Job summary

U.S. Securities and Exchange Commission is seeking a qualified attorney with strong leadership and regulatory analysis capabilities. The role focuses on supervising examinations of broker-dealers, transfer agents, investment advisers, and self-regulatory organizations, ensuring compliance with federal securities laws and delivering timely, informed analyses.

Applicants should have a J.D. and active bar membership, with at least four years of post-J.D.

Qualifications

• J.D. degree and active bar membership required.
• Four years post-J.D. work experience, including three years in specialized areas.
• Experience examining broker-dealers, transfer agents, investment advisers and SROs; risk assessment of securities firms.

Responsibilities

• Lead examinations and audits of broker-dealers, transfer agents, investment companies and registered securities firms.
• Assess compliance with federal securities laws and regulations.
• Provide information and guidance on potential violations; manage a team performing examinations.

Skills

Leading the Organization

Leading and Developing People

Results Orientation

Building Coalitions

Analysis and Risk Assessment

Program Management

Critical Thinking

Education

J.D. or LL.B.

Job description

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.

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.