Senior Officer-Chief Risk and Strategy Officer

Securities and Exchange Commission•Los Angeles, CA

About The Position

The Division of Examinations is seeking a Senior Officer - Chief Risk and Strategy Officer (CRSO). The role leads the Office of Risk and Strategy (ORS), the Division’s strategic information hub for monitoring and identifying risks in 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 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, Georgia; Boston, Massachusetts; Chicago, Illinois; Denver, Colorado; Fort Worth, Texas; Los Angeles, California; Miami, Florida; New York, New York; Philadelphia, Pennsylvania; San Francisco, California; or Washington, DC. It is open to federal employees in permanent competitive-service positions (status candidates).

Requirements

Must be a U.S. citizen.
Males born after December 31, 1959, must be registered with Selective Service or exempt.
Must complete a pre-employment security investigation; favorable background-investigation results may be a condition of employment or selection to another position.
Must meet time-in-grade requirements: one year at the GS/SK-14 level.
Must have at least one full year of specialized experience equivalent to at least the GS-14/SK-14 level in the federal government.
Specialized experience includes conducting, overseeing, or supporting examinations, audits, or reviews of broker-dealers, transfer agents, investment companies, investment advisers, or self-regulatory organizations.
Specialized experience includes assessing the compliance, activities, or risks of registered securities firms.
Specialized experience includes managing a team or group that conducts, oversees, or supports examinations, audits, or reviews of financial or securities firms.
Specialized experience includes providing information or assistance concerning possible violations of federal securities laws and regulations.
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 the listed duty station.

Responsibilities

Oversee ORS functions, including risk analytics and examination candidate identification, ongoing monitoring of select large firms, incident response, financial intelligence, emerging-risk research, development of data analytics tools, 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 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.