Securities Compliance Examiner - Risk Strategist

Securities and Exchange Commission•San Francisco, CA

About The Position

The Division of Examinations (EXAMS) is seeking a Securities Compliance Examiner (Risk Strategist), SK-1831-16, in the Office of Investment Advisers and Investment Companies (IA/IC). The Risk Strategist conducts risk analysis and analytical studies of broker-dealers, investment advisers, and investment companies, supporting EXAMS’ nationwide examination program and its mission to protect investors, ensure market integrity, and support responsible capital formation. The position provides expert advice to senior managers and examination teams on planning examinations, defining their scope, and communicating findings through clear summaries and oral and written presentations. It monitors industry risks using varied information sources and analytical methods, evaluates data to identify trends and emerging concerns, and recommends focus areas for agency priorities and examinations. The Risk Strategist also supports surveillance and risk-based selection of examination candidates, contributes to examination planning in response to market intelligence and changes in the registrant population, and undertakes analytical studies and special projects requiring deep subject-matter expertise. The role collaborates with other risk strategists to improve risk-assessment policies and procedures, communicates intelligence on novel issues to examination staff and senior management, and contributes to internal training. Examination staff routinely travel to registered entities’ offices to inspect facilities, interview personnel, and examine business records. The position may require a one-year probationary period. Applicants must be U.S. citizens, and entry on duty is contingent upon completion of a pre-employment security investigation. The position may be subject to drug testing.

Requirements

U.S. citizenship.
At least one year of specialized experience equivalent to the GS/SK-14 level.
Specialized experience analyzing data and information to identify emerging risks related to specified securities-industry entities, including broker-dealers, clearing agencies, transfer agents, municipal advisers, investment advisers, investment companies, security-based swap dealers, private funds, or self-regulatory organizations.
Specialized experience providing briefings to senior management.
Specialized experience developing recommendations and/or reports of findings to address and resolve issues related to specified securities-industry entities.
Meet all qualification requirements by the announcement closing date.
Males born after December 31, 1959, must be registered with or exempt from Selective Service.
Completion of a pre-employment security investigation is required before entry on duty.
The selectee must report to the listed duty station(s).

Responsibilities

Provide expert advice and assistance to senior managers and examination teams on planning examinations, conducting them, and defining their scope, including through clear summaries and oral and written presentations.
Apply industry or securities-compliance examination expertise to conduct risk analysis of entities being or potentially being examined.
Monitor risks using a wide range of tools and methods, including databases, models, industry publications, and experts.
Analyze and evaluate data to identify trends, concerns, and emerging risks, and suggest focus areas for agency priorities, initiatives, and examinations.
Maintain awareness of regulatory changes and evolving industry standards so examination strategies remain current.
Assist senior management and staff in developing and refining examination plans in response to emerging market intelligence and changes in the registrant population.
Conduct surveillance of broker-dealer or investment-adviser/investment-company populations.
Establish risk-based selection methodologies and identify factors for selecting entities for risk-based examinations.
Analyze and evaluate tips and complaints, and monitor program alignment with priorities and progress toward goals.
Plan, organize, and complete analytical studies and special projects requiring subject-matter expertise and knowledge of current industry trends.
Collaborate with other risk strategists on internal risk-assessment policies and procedures, recommending improvements to consistency, effectiveness, and operational efficiency.
Identify, analyze, and communicate intelligence about unique and novel issues to examination staff and senior management.
Assist with internal training to broaden staff expertise.