BROKER-DEALER FINANCIAL RISK ANALYST

Full Job Description

The Division of Trading and Markets (TM) is seeking a Broker-Dealer Financial Risk Analyst (Financial Analyst) to support the supervision of broker-dealers and the financial responsibility requirements, including protection of customer assets held by broker-dealers.

This position supports the 17(H) Risk Assessment Program and serves an integral role within the Office of Broker-Dealer Finances (OBDF) Working Group, using a variety of financial data to provide comprehensive analysis.

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-14: Applicant must have at least one year of specialized experience equivalent to the GS/SK-13 level: Analyzing financial information in a financial institution such as a broker-dealer, primary dealer, clearing agency, commercial bank, or hedge fund; using advanced functions in Bloomberg, Copilot or Excel such as pivot tables, complex charts, vlook-ups, macros, or advanced sorts/filters; AND Authoring reports or memos that explain the results of financial analysis.

ACCOMPLISHMENT RECORD COMPETENCIES: Your Accomplishment Record narratives should address the following competencies.

See the How You Will Be Evaluated section below for more information: Critical Thinking: Considers a variety of factors, general and subject matter-specific, when making decisions and determining next steps in a case.

Workload Management: Effectively prioritizes workload in a way that accommodates unforeseen developments and achieves successful outcomes.

Teamwork and Collaboration: Interacts with internal and external others in a manner that advances SEC goals and objectives.

Legal and Regulatory Analysis: Conducts analysis and prepares documents and reports in compliance with Federal law that governs the rulemaking process. Major Duties:

As a Broker-Dealer Financial Risk Analyst, you will support the supervision of broker-dealers and the financial responsibility requirements, including protection of customer assets held by broker-dealers.

Under OBDF, the 17(H) Risk Assessment Program monitors concerns that arise regarding the financial conditions of a broker-dealer, its holding company, and its affiliates pursuant to sections 17h-1T and 17h-2T of the Exchange Act.

This position supports the 17(H) Risk Assessment Program and serves an integral role within the OBDF Working Group, using a variety of financial data to provide comprehensive analysis.

In this role as a Broker-Dealer Financial Risk Analyst, you will be responsible for: Serving as a technical expert on understanding financial conditions and issues related to liquidity, market, credit, and operations risk at regulated entities.

Reviewing and analyzing 17(H) filings of assigned broker-dealers for compliance and to understand the structure of regulated entities and interconnectedness with material affiliates.

Perform risk monitoring activities over customer carrying and clearing broker-dealer business and 15c3-1 and 15c3-3 compliance Performing financial analysis to identify, assess and aggregate risk.

Conduct extensive research of industry, academic, and media financial information and data to present current securities industry trends and emerging issues affecting regulated broker-dealer entities.

Be proficient in gathering, combining and reporting on large quantities of financial data.

Researching and analysis of data sets to identify patterns or trends to augment risk assessment and risk monitoring over regulated entities.

Use various technical tools (databases, statistical programming, or analytical tools) to enhance data management and analytical capabilities.

Prepare and present findings and recommendations of the review and analysis to TM senior leadership.