Nationwide
Glendale, California
Springfield, Massachusetts
Queens, NY, 11415, USA
Fullerton, California
Bloomington, Indiana;Indianapolis, Indiana,
Davis, California
Fairfax, Virginia
Posted: 07-Dec-22
Location: Nationwide
Type: Full Time
Salary: $190,564 - $275,867 per year
Categories:
Agency: U.S. Securities and Exchange Commission
Position: SENIOR OFFICER-CHIEF RISK AND STRATEGY OFFICER (Attorney)
Location: Washington, DC
Salary: $190,564 - $275,867 per year
Open & Close Dates: 12/06/2022 to 12/27/2022
Job Link: https://www.usajobs.gov/job/693098900
Summary:
The Chief Risk and Strategy Officer (CRSO) position is in the Division of Examinations located in Washington, DC, Philadelphia, PA or New York, NY and is open to US Citizens.
Conditions of Employment
You must possess a J.D. or LL.B Degree.
You must be an active member of the bar in good standing.
CITIZENSHIP: This position is open to US Citizens.
Typical duties include:
The Chief Risk and Strategy Officer (CRSO) will oversee the Division's risk assessment, market surveillance and financial intelligence efforts as well as its large firm monitoring and quantitative analytical teams. The CRSO will help formulate strategies that will inform and help facilitate the Division's risk-focused strategies by leveraging data, information, human capital and IT systems. In this capacity, the CRSO will be responsible for supporting the Division's risk-based and data driven processes through the identification of risks and emerging issues in the financial markets, exam targeting and selection efforts, resource allocation, and investment in quantitative-based examination initiatives. The CRSO will also oversee staff within the organization that conduct examinations of certain Registrants with elevated risk profiles as well as staff that conduct registration-related reviews and activities.
As the Division's Chief Risk and Strategy Officer and a direct report to the Director, you will:
Lead the Division's risk management capabilities and promote a risk-based approach to examinations to fulfill its mission to promote compliance with U.S. securities laws, prevent fraud, monitor risk, and inform SEC policy.
Develop, implement, and oversee the Division's risk management program including the processes for identifying, assessing, prioritizing, mitigating, monitoring, and reporting on key risks that could impair the Division's ability to achieve its mission or goals.
Collaborate with Division leadership to promote effective governance of significant enterprise risks that span the examination program and serve as highly engaged partner to ensure other key risks are locally identified and owned and risk measurement, mitigation, and monitoring tools are effectively deployed.
Advise and inform the Director on risk management matters and promote the consideration of risk management factors in budgetary, operational, and strategic decision-making.
Promote the spirit and practice of diversity, further the goals of equal employment opportunity, and adhere to nondiscriminatory employment practices
You must possess a J.D. or LL.B Degree.
You must be an active member of the bar in good standing.
CITIZENSHIP: This position is open to US Citizens.
The Chief Risk and Strategy Officer (CRSO) will oversee the Division's risk assessment, market surveillance and financial intelligence efforts as well as its large firm monitoring and quantitative analytical teams. The CRSO will help formulate strategies that will inform and help facilitate the Division's risk-focused strategies by leveraging data, information, human capital and IT systems. In this capacity, the CRSO will be responsible for supporting the Division's risk-based and data driven processes through the identification of risks and emerging issues in the financial markets, exam targeting and selection efforts, resource allocation, and investment in quantitative-based examination initiatives. The CRSO will also oversee staff within the organization that conduct examinations of certain Registrants with elevated risk profiles as well as staff that conduct registration-related reviews and activities.
As the Division's Chief Risk and Strategy Officer and a direct report to the Director, you will:
Lead the Division's risk management capabilities and promote a risk-based approach to examinations to fulfill its mission to promote compliance with U.S. securities laws, prevent fraud, monitor risk, and inform SEC policy.
Develop, implement, and oversee the Division's risk management program including the processes for identifying, assessing, prioritizing, mitigating, monitoring, and reporting on key risks that could impair the Division's ability to achieve its mission or goals.
Collaborate with Division leadership to promote effective governance of significant enterprise risks that span the examination program and serve as highly engaged partner to ensure other key risks are locally identified and owned and risk measurement, mitigation, and monitoring tools are effectively deployed.
Advise and inform the Director on risk management matters and promote the consideration of risk management factors in budgetary, operational, and strategic decision-making.
Promote the spirit and practice of diversity, further the goals of equal employment opportunity, and adhere to nondiscriminatory employment practices.
Qualifications
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. Qualifying education must have been obtained from an accredited college or university recognized by the U.S. Department of Education.
BASIC REQUIREMENT: All applicants must possess the following
J.D. or LL.B. degree --AND--
Active membership of the bar in good standing in any state, territory of the United States, the District of Columbia, or the commonwealth of Puerto Rico. (Note: proof of bar membership will be required before entry on duty.
MINIMUM QUALIFICATION REQUIREMENT: In addition to meeting the basic requirement, applicants must also meet the minimum qualification requirement.
SO-01: Applicant must have at least four years post-J.D experience identifying legal issues, providing legal analyses, providing legal solutions/recommendations, and preparing legal documents, such as contracts, dispositions, pleadings, and motions, which also includes at least three years of specialized experience:
- Leading the development and implementation of risk assessment and management mechanisms for a large organization;
- Providing guidance and oversight on the organization's approach to assessing and managing its risk identification and assessment processes;
- Representing an organization, internally and externally, in engagements with senior level representatives of other organizations/agencies;
- Interpreting and applying the provisions of the Securities Act of 1933 and the Securities Exchange Act of 1934, the Investment Company Act of 1940 and the Investment Advisers Act of 1940;
- Providing guidance and evaluation on policy issues related to the federal securities laws; investigating possible violations of federal securities laws and regulations; AND
- Conducting or managing complex investigations, compliance examinations, audits, surveillance, or monitoring activities within the financial services sector.
Education
FOREIGN EDUCATION: If you are using education completed in foreign colleges or universities to meet the qualification requirements, you must show the education credentials have been evaluated by a private organization that specializes in interpretation of foreign education programs and such education has been deemed equivalent to that gained in an accredited U.S. education program; or full credit has been given for the courses at a U.S. accredited college or university. For further information, visit: http://www.ed.gov/about/offices/list/ous/international/usnei/us/edlite-visitus-forrecog.html
Official Transcripts will be required at the time of appointment to verify educational eligibility.
Additional information
SEC COMPENSATION PROGRAM: The overall salary range listed above is provided for informational purposes as it represents the full range that is applicable to current employees in this occupation/grade; however, a selectee's initial pay is always set below the maximum rate of the range. Please click here for additional information.
To ensure compliance with an applicable preliminary nationwide injunction, which may be supplemented, modified, or vacated, depending on the course of ongoing litigation, the Federal Government will take no action to implement or enforce the COVID-19 vaccination requirement pursuant to Executive Order 14043 on Requiring Coronavirus Disease 2019 Vaccination for Federal Employees. Therefore, to the extent a Federal job announcement includes the requirement that applicants must be fully vaccinated against COVID-19 pursuant to E.O. 14043, that requirement does not currently apply. Federal agencies may request information regarding the vaccination status of selected applicants for the purposes of implementing other workplace safety protocols, such as protocols related to masking, physical distancing, testing, travel, and quarantine.
Reasonable Accommodation: If you are an applicant who needs a reasonable accommodation for disability to participate in the application process at the SEC, submit the form for Reasonable Accommodation for Participation in Job Application Process here. Please be sure to submit your request at least 5 business days in advance of the date you need the requested accommodation.
Equal Employment Opportunity (EEO) Information for SEC Job Applicants: Federal EEO laws protect all applicants from discrimination on the following bases: race, color, sex (not limited to conduct which is sexual in nature, includes pregnancy, gender identity, sexual orientation, transgender status), age (40 and over), religion, national origin, disability, genetic information, retaliation for participating in the EEO process or opposing discrimination. Applicants who believe they have been discriminated against on any EEO basis can seek recourse through the SEC's administrative complaints process. To be timely, an individual must enter the EEO process within 45 days from when they know (or should have known) of the alleged discrimination. Click here for additional information.
TTY/ASCII: Video Relay Service users are welcome to contact the appropriate SEC office or employee via the contact information listed above. If you do not otherwise have access to a Video Phone or Video Relay service, you may send us an email or use the Federal Video Relay Service via the internet. For more information about using the Federal Relay Service and to create a new account, please see: https://www.federalrelay.us/
Additional guidance and application instructions can be found here: https://www.usajobs.gov/job/693098900
