SECURITIES COMPLIANCE EXAMINER - RISK STRATEGIST

SECURITIES COMPLIANCE EXAMINER - RISK STRATEGIST

Department: Other Agencies and Independent Organizations

Location(s): Denver, Colorado, Washington, District of Columbia, Miami, Florida, Atlanta, Georgia, Boston, Massachusetts, Philadelphia, Pennsylvania

Salary Range: $161608 - $292300 Per Year

Job Summary: The Division of Examinations (EXAMS) is seeking Securities Compliance Examiner - Risk Strategist in the Office of Broker-Dealers (BDX and Office of Investment Advisers and Investment Companies (IA/IC). As a Risk Strategist you will conduct risk analysis and analytical studies of broker-dealers or investment advisors and investment companies.

Major Duties:

• The mission of EXAMS is to protect investors, ensure market integrity and support responsible capital formation through risk-focused strategies that: (1) improve compliance; (2) prevent fraud; (3) monitor risk; and (4) inform policy. The results of the Division's examinations are used by the SEC to inform rule-making initiatives, identify and monitor risks, improve industry practices and pursue misconduct. If selected, you will join a well-respected team that is responsible for supporting EXAMS' mission to conduct and coordinate the nationwide examination program for broker dealer entities or investment advisors/investment companies over which the Commission has regulatory authority. As a Risk Strategist, you will: Provide expert advice and assistance to senior managers and teams as to the planning, conducting, and defining the scope examinations in the form of clear summaries and both verbal and written presentations; Apply extensive knowledge of the broker dealer or investment advisory/investment company industry or securities compliance examinations in the conduct of risk analysis of entities being (or potentially being) examined by the agency; monitor risks by utilizing information from a wide range of tools and methods including expansive databases, models, and industry publications and experts; and analyze and evaluate data, identifying trends, concerns, emerging risks to suggest focus areas for agency priorities, initiatives and examinations; Maintain a strong awareness of regulatory changes and evolving industry standards to ensure examination strategies remain current; As an expert resource working with senior management and staff, assist with developing and refining the examination plans in response to emerging market intelligence and changes in the population of registrants; conduct surveillance activities on the broker dealer or investment advisor/investment company population; establish risk-based selection methodologies for identification of exam candidates; identify factors for selection of entities for risk-based examinations; analyze and evaluate tips and complaints; and monitor program for alignment with priorities and progress toward goals; Plan, organize, and carry through to completion analytical studies and special projects of a breath and intensity requiring subject matter expertise and in-depth knowledge of the assigned area as well as an awareness of the most recent and novel trends in the industry; Collaborate with other risk strategists to provide analysis and input on internal risk assessment policies and procedures and make suggestions for enhancements to promote consistency, policy effectiveness and improve operational efficiencies; Identify, analyze, and communicate intelligence on unique and novel issues to exam staff and senior management; and Contribute to training efforts by assisting with internal trainings to broaden staff expertise. Vacancies are in the following EXAMS programs and duty locations: BDX: Atlanta, Boston, DC, Miami and Philadelphia IA/IC: Denver and Miami

Qualifications: 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. MINIMUM QUALIFICATION REQUIREMENT: SK-16: Applicant must have at least one year of specialized experience equivalent to the GS/SK-14 level. Specialized experience includes: Analyzing data and information to identify emerging risks related to broker-dealers, clearing agencies, transfer agents, municipal advisers, investment advisers, investment companies, security-based swap dealers, private funds or self-regulatory organizations; AND Providing briefings to senior management.; AND Developing recommendations and/or reports of findings to address and resolve issues related to broker-dealers, clearing agencies, transfer agents, municipal advisers, investment advisers, investment companies, security-based swap dealers, private funds or self-regulatory organizations. ACCOMPLISHMENT RECORD COMPETENCIES: Your Accomplishment Record narratives should address the following competencies. See the How You Will Be Evaluated section below for more information: Analysis and Risk Assessment: Analyzes information to assess an entity's level of risk for deficiencies in various focus areas. Critical Thinking: Considers a variety of factors, general and subject matter-specific, when making decisions and determining next steps in a case. Information Gathering: Ability to gather and process large amounts of information and make connections to understand possible deficiencies. Managing Information (core): Ability to ensure that programs strategically utilize and share information, with some guidance.

How to Apply: To apply for this position, you must complete the online application and submit the documentation specified in the Required Documents section below. A complete application package must be submitted by 11:59 PM (EST) on the closing date of the announcement to receive consideration. No additional documentation will be accepted after the closing date of the announcement. To begin, click Apply to access the online application. You will need to be logged into your USAJOBS account to apply. If you do not have a USAJOBS account, you will need to create one before beginning the application. Follow the prompts to select your resume and/or other supporting documents to be included with your application package. You will have the opportunity to upload additional documents to include in your application before it is submitted. Your uploaded documents may take several hours to clear the virus scan process. After acknowledging you have reviewed your application package, complete the Include Personal Information section as you deem appropriate and click to continue with the application process. You will be taken to the online application which you must complete in order to apply for the position. Complete the online application, verify the required documentation is included with your application package, and submit the application. To verify the status of your application, log into your USAJOBS account (https://my.usajobs.gov/Account/Login), all of your applications will appear on the Welcome screen. The Application Status will appear along with the date your application was last updated. For information on what each Application Status means, visit: https://www.usajobs.gov/Help/how-to/application/status/.

Application Deadline: 2026-05-12