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 - Chief Risk and Strategy Officer (CRSO) to lead the Office of Risk and Strategy (ORS), the Division’s strategic information hub for monitoring and identifying risk within 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 CRSO advances a data-driven, risk-based national examination program and advises senior Division leadership on registrant, industry, and market risks and their implications for examination priorities, strategy, and resource allocation. The role promotes integration of ORS capabilities across the Division’s examination program areas and with other SEC divisions and offices, and represents the Division in agency-wide governance. 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 a listed duty station. Moving or relocation expenses are not authorized.

Requirements

Must be a U.S. citizen.
Must possess a J.D. or LL.B. degree and be an active member of the bar in good standing in a U.S. state or territory, the District of Columbia, or Puerto Rico. Proof of bar membership is required before entry on duty.
At least four years of post-J.D. work experience identifying legal issues, providing legal analyses and recommendations, and preparing complex legal documents.
At least three years of specialized experience conducting, overseeing, or supporting examinations of broker-dealers, transfer agents, investment companies, investment advisers, and self-regulatory organizations; assessing compliance, activities, and risks of registered securities firms; managing a team or group conducting, overseeing, or supporting examinations or audits of financial or securities firms; and providing information or assistance concerning possible violations of federal securities laws and regulations.
Males born after December 31, 1959, must be registered with or exempt from Selective Service.
Must complete a pre-employment security investigation; favorable background-investigation results may be a condition of employment or selection to another position.
May be subject to drug-testing requirements.
May be required to complete a two-year supervisory/managerial trial period.
Must serve a two-year trial period (one year for preference-eligible veterans) if the position is not the same or similar to the applicant’s current position of record.
Must provide transcripts or other documentation supporting educational claims; foreign education used to meet requirements must be evaluated by a qualified credential-evaluation organization.
Accomplishment Record narratives should address leading the organization, leading and developing people, results orientation, building coalitions, analysis and risk assessment, program management, and critical thinking.
Must report to one of the listed duty stations.
Federal employees must receive salary payments by direct deposit.

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 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.
Lead and manage the Office of Risk and Strategy.