Senior Officer-Chief Risk and Strategy Officer

Securities and Exchange Commission • Los Angeles, CA

7d • Onsite

About The Position

The Division of Examinations is seeking a Senior Officer to lead the Office of Risk and Strategy (ORS), the Division’s strategic information hub for monitoring and risk identification of the registrant community. ORS informs Division strategy, planning, candidate selection, and examination scoping through risk analytics, large-firm monitoring, incident response, financial intelligence, emerging-risk research, data-analytic tool development, and quantitative examination support.

The Chief Risk and Strategy Officer (CRSO) represents the Division in agency-wide governance and integrates ORS capabilities across the Division of Examinations and with other SEC divisions and offices. The position may be located in Atlanta, Boston, Chicago, Denver, Fort Worth, Los Angeles, Miami, New York, Philadelphia, San Francisco, or Washington, DC. The selectee must report to the listed duty station(s).

Requirements

• U.S. citizenship.
• Males born after December 31, 1959, must be registered with or exempt from Selective Service.
• At least one full year of specialized experience equivalent to at least the GS-14/SK-14 level in the federal government.
• Specialized experience conducting, overseeing, or supporting examinations, audits, or reviews of broker-dealers, transfer agents, investment companies, investment advisers, or self-regulatory organizations.
• Specialized experience assessing compliance, activities, or risks of registered securities firms.
• Specialized experience managing a team or group that conducts, oversees, or supports examinations, audits, or reviews of financial or securities firms.
• Specialized experience providing information or assistance concerning possible violations of federal securities laws and regulations.
• All qualification requirements must be met by the announcement closing date.
• The selectee must complete a pre-employment security investigation; favorable background investigation results may be a condition of employment or selection to another position.
• The position may be subject to drug testing.
• The appointment may require a two-year supervisory/managerial probationary period and a one-year probationary period.

Responsibilities

• Oversee ORS core functions, including risk analytics and examination-candidate identification, ongoing monitoring of select large firms, incident response, financial intelligence, emerging-risk research, data analytics tool development, and quantitative examination support.
• Advance a data-driven, risk-based national examination program.
• Advise senior Division leadership on registrant, industry, and market risks and their implications for examination priorities, strategy, and resource allocation.
• Promote integration across the Division’s examination program areas and support 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.

Benefits

• Federal employees receive a comprehensive benefits package, with benefits for employees and their families; specific eligibility depends on position type.

What This Job Offers

• Job Type: Full-time
• Career Level: Senior
• Education Level: No Education Listed