Dealer Risk Management Analyst
What you'd do
Are you passionate about financial markets, data analysis, and protecting investors? The Risk Supervised Broker-Dealer Program (RSBD) in the Division of Trading and Markets (TM) is looking for a motivated and detail-oriented early-career Financial Analyst (Dealer Risk Management Analyst) to join our team. This is your opportunity to build a meaningful career at one of the most respected financial regulatory agencies in the world.
Major duties
In this role as a Dealer Risk Management Analyst, you will be responsible for: Reviewing Internal Risk Controls - Analyzing internal risk management frameworks covering market, credit, leverage, liquidity, legal, and operational risks at Alternative Net Capital (ANC) firms, OTC Derivatives Dealers (OTCDDs), and Security-Based Swap Dealers (SBSDs) to assess their effectiveness in managing firm-wide exposures. Analyzing Financial & Risk Filings - Reviewing and evaluating monthly, quarterly, and annual regulatory filings containing financial, risk management, and operational data submitted by ANC firms, OTCDDs, and SBSDs. Engaging Senior Risk Managers - Participating in regular meetings with firm senior risk managers to review business unit risk-taking activities, aggregate risk metrics, independent risk control functions, and control processes supporting enterprise-wide risk management. Supporting Agency Decision-Making - Compiling findings, preparing written reports and oral presentations, and contributing analytical support that directly informs SEC leadership recommendations and regulatory actions. Representing the Agency - Interacting with industry representatives and peers at other federal and international agencies to coordinate research, resolve issues, and support the effective operations of your assigned organization.
What you need to qualify
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-12: Applicant must have at least one year of specialized experience equivalent to the GS/SK-11 level: Developing tools, applications, and approaches to interpret results for monitoring financial or operational risks; Analyzing financial statements and risk metrics related to financial institutions; AND Communicating technical information in written and oral formats. ACCOMPLISHMENT RECORD COMPETENCIES: Your Accomplishment Record narratives should address the following competencies. See the How You Will Be Evaluated section below for more information: Competency 1: Legal and Regulatory Analysis: Conducts analysis and prepares documents and reports in compliance with Federal law that governs the rulemaking process. Competency 2: Workload Management: Effectively prioritizes workload in a way that accommodates unforeseen developments and achieves successful outcomes. Competency 3: Critical Thinking: Considers a variety of factors, general and subject matter-specific, when making decisions and determining next steps in a case. Competency 4: Teamwork and Collaboration: Interacts with internal and external others in a manner that advances SEC goals and objectives.
Before you apply
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