Clarification from the agency

All US Citizens

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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.

Conditions of employment

• You must be a US Citizen.
• Application procedures are specific to this vacancy announcement. Please read all the instructions carefully. Failure to follow the instructions may result in you not being considered for this position.
• Supplementary vacancies may be filled in addition to the number stated in this announcement.
• This position has promotion potential to the SO-02.
• PROBATIONARY PERIOD: This appointment may require completion of a two year supervisory/managerial probationary period.
• SECURITY CLEARANCE: Entrance on duty is contingent upon completion of a pre-employment security investigation. Favorable results on a Background Investigation may be a condition of employment or selection to another position.
• DRUG TESTING: This position may be subjected to drug testing requirements.
• PERMANENT CHANGE OF STATION (PCS): Moving/Relocation expenses are not authorized.
• DIRECT DEPOSIT: All Federal employees are required to have Federal salary payments made by direct deposit to a financial institution of their choosing.
• This position is not in the collective bargaining unit.
• For consideration at the SO-2 level, you must currently hold a SO-2 position within the SEC.
• Due to COVID-19, the SEC is currently in an optional telework posture. This position is eligible to request telework in accordance with the SEC 's telework policy.

Qualifications

All qualification requirements must be met by the closing date of this announcement.

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.

MINIMUM QUALIFICATION REQUIREMENT:

SO-01: Applicant must have at least one year of specialized experience equivalent to the GS/SK-14 level. Specialized experience includes the following:

1. Leading the development and implementation of risk identification, assessment and management for a large organization;
2. Providing guidance and oversight on the organization's approach to assessing and managing risk and developing strategy;
3. Representing an organization, internally and externally, in engagements with senior level representatives of other organizations/agencies;
4. Conducting or managing compliance examinations, audits, surveillance, or monitoring efforts within the financial services sector; AND
5. Interpreting and applying federal securities laws (e.g., the Securities Act of 1933, the Securities Exchange Act of 1934, the Investment Company Act of 1940, the Investment Advisers Act of 1940).

How you will be evaluated

You will be evaluated for this job based on how well you meet the qualifications above.

We will review your resume and supporting documentation to determine if you meet the minimum qualifications for the position. If you meet the minimum qualifications stated in the vacancy announcement, we will compare your resume and supporting documentation to your responses on the scored occupational questionnaire. Your resume must support your responses to the scored occupational questionnaire. After the announcement closing date, you will receive an email asking you to respond to the core and technical qualifications listed below. You must provide your responses within the established deadline.

You will be rated on the following Competencies:

Core Qualifications:

1. Management Experience: Experience designing and implementing strategies which maximize employee potential and foster high ethical standards in meeting the organization's vision, mission, and goals.
2. Leading Change/Achieving Results: Experience developing and implementing an organizational vision which integrates key national and program goals, priorities, values, and other factors of that organization. Examples should include experience implementing change in his/her organization, exercising leadership and motivating managers to incorporate vision and strategic planning into the process.
3. Building Coalitions/Communications: Experience explaining, advocating, and expressing facts and ideas (both orally and in writing) in a convincing manner. Experience working with the press, political appointees, Congress, and other high-level organizations and staff on various types of important national issues. Experience includes working in groups and teams conducting briefings with outside groups and gaining cooperation from others to obtain information and accomplish goals.