The Division of Trading and Markets, Office of Analytics and Research (OAR) is seeking applicants for a Senior Officer - Associate Director role located in Washington, DC. This position is open to current SEC Employees.
Summary
The Division of Trading and Markets, Office of Analytics and Research (OAR) is seeking applicants for a Senior Officer - Associate Director role located in Washington, DC. This position is open to current SEC Employees.
The Office of Analytics and Research (OAR) provides the Commission with detailed and sophisticated data analyses on market microstructure to inform critical policy decisions. This work demands deep expertise in the structure and functioning of secondary markets for equities, equity options, exchange-traded products, corporate bonds, fixed income instruments, and derivatives, including swaps. Given the data-intensive nature of these markets, OAR staff routinely apply advanced programming and analytical skills to fulfill their responsibilities. The individual in this role will research efforts on market structure and operations to support policymaking, identify emerging trends, innovations, potential areas of concern, and assess significant market events.
Duties:
Serves as a senior technical authority in financial analysis, addressing a broad spectrum of highly complex and often sensitive issues with significant implications for the industry and Commission actions. Leads the development of rigorous, objective financial analyses on matters such as proposed regulations, public policy initiatives, compliance frameworks, and oversight of industry professionals. Provides strategic leadership and direction to a team of analysts, ensuring the delivery of expert analytical and evidentiary support for the agency's regulatory actions.
Provides executive leadership and strategic oversight of staff and work products by demonstrating deep expertise in a specialized segment of the assigned program. Responsibilities include monitoring emerging and unconventional market and financial developments that influence SEC decision-making; leveraging and enhancing data systems and technological tools; anticipating market trends and practices; cultivating effective partnerships with domestic and international agencies; and participating in public outreach and representational engagements to advance the Commission's mission and strategic vision.
Prepares technically rigorous responses to a wide range of complex market issues stemming from the interpretation and application of statutes administered by the SEC. These matters are typically referred due to their complexity, sensitivity, potential to set precedent, urgency, deviation from established regulations, or other exceptional circumstances. The individual applies expert judgment and analytical skills to address novel challenges and provide timely, high-impact guidance.
Represents the agency in meetings, conferences, and public forums, serving as a knowledgeable and authoritative voice on specialized segments of the financial markets. Demonstrates current expertise in assigned market areas, leverages technological advancements to enhance analytical capabilities, and fosters strong collaborative relationships with federal and state agencies as well as industry stakeholders.
You must be an active member of the bar in good standing.
CITIZENSHIP: This position is open to US Citizens.
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 and may be filled from any division or office within the agency.
This position has promotion potential to the SO-02.
TRIAL PERIOD: This appointment may require completion of a two year supervisory/managerial trial 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.
Consistent with 5 U.S.C. § 7511, you will be required to serve a two-year trial period (one year for preference eligible veterans) if the position to which you have applied is not the same or similar to your current position of record.
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. Qualifying education must have been obtained from an accredited college or university recognized by the U.S. Department of Education.
Applicants are responsible for confirming all required materials are submitted by the deadline. 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.
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 four year(s) of post J.D. experience identifying legal issues, providing legal analyses, providing legal solutions/recommendations, and preparing legal documents, which also includes at least three years of specialized experience:
Providing legal analytical support and contextual insight to inform broad policy decisions and rulemaking initiatives;
Leading a market data analysis initiative within a major organization, enabling comprehensive monitoring and evaluation of market activity across multiple asset classes, including equities, options, exchange-traded products, fixed income instruments, and/or derivatives;
Designing and executing ongoing research programs focused on continuous monitoring of equity and options markets, incorporating analysis of market data related to fixed income and/or security-based swaps; and
Developing and maintaining robust data collection and analytical frameworks to support effective oversight of the securities markets.
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.
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, religion, sex, pregnancy, national origin, political affiliation, sexual orientation, marital status, disability, genetic information, age, membership in an employee organization, retaliation, parental status, military service or other non-merit factor. 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.
The Fair Chance Act prohibits specific inquiries concerning an applicant's criminal or credit background unless the hiring agency has made a conditional offer of employment to the applicant. An applicant may submit a complaint, or any other information, to the agency within 30 calendar days of the date of alleged non-compliance by contacting the Legal and Policy Office in the Office of Human Resources at ElliottT@sec.gov.
Candidates should be committed to improving the efficiency of the Federal government, passionate about the ideals of our American republic, and committed to upholding the rule of law and the United States Constitution.
A career with the U.S. government provides employees with a comprehensive benefits package. As a federal employee, you and your family will have access to a range of benefits that are designed to make your federal career very rewarding. Opens in a new windowLearn more about federal benefits.
Eligibility for benefits depends on the type of position you hold and whether your position is full-time, part-time or intermittent. Contact the hiring agency for more information on the specific benefits offered.
How you will be evaluated
You will be evaluated for this job based on how well you meet the qualifications above.
Your resume and application package will be reviewed to determine whether you meet the qualification requirements outlined in this announcement.
If you are found minimally qualified, a rating panel will review your resume and Accomplishment Record narratives. Accomplishment Record narratives should demonstrate your proficiency in the following competencies:
Leading the Organization: Building and supporting the organization's vision, creating strategies to achieve the vision, supporting and leading innovative and creative initiatives to meet organizational goals.
Leading and Developing People: Ability to recruit, lead, develop and manage the workforce, constructively manages differences and potential conflicts between employees, building teams that meet and exceed an organizations' mission, strategic plan, and goals.
Results Orientation: Ability to meet organizational goals by effectively managing program area, identifying and solving important problems, making sound and timely decisions, and effectively managing and sharing information.
Building Coalitions: Ability to build coalitions by partnering with others to build strategic relationships, influencing and negotiating with those in sphere of influence to achieve favorable outcomes for an organization.
Market Analysis: Advises on emerging markets, through extensive research that require understanding of the marketplace landscape to inform and support policy development.
Legal and Regulatory Analysis: Conducts analysis and prepares documents and reports in compliance with Federal law that governs the rulemaking process.
Your resume must provide evidence that supports the claims made in your Accomplishment Record narratives; both documents must effectively showcase your qualifications. Each competency narrative should detail one specific, relevant example from your training or experience. Please limit each response to a maximum of 300 words, as any text beyond this limit will not be considered during the evaluation. You will upload one pdf or Word document with your narrative responses to each of the six competencies. Your responses must be in the below format:
Competency Title
Position title and dates from your resume that this experience was obtained
Describe the situation (i.e., the challenged faced, the problem solved)
Describe the specific actions you took
State the outcome, results, or long-term impact of your accomplishment
Name and email address of someone who can verify this information
Failure to provide the Accomplishment Record will result in a rating of IFFM: You were not considered because you did not submit all required documents and/or they were not in English as specified in the announcement. For more information on the Accomplishment Record, see the Required Documents section.
The rating panel will place applicants in three categories: Highly Qualified, Well Qualified and Qualified. Top ranked applicants will be referred to the hiring office for further review and consideration. The hiring office may directly contact recommended candidates for interview(s). When the selection is made, applicants will be sent a referral status notification and a final disposition notification.
A career with the U.S. government provides employees with a comprehensive benefits package. As a federal employee, you and your family will have access to a range of benefits that are designed to make your federal career very rewarding. Opens in a new windowLearn more about federal benefits.
Eligibility for benefits depends on the type of position you hold and whether your position is full-time, part-time or intermittent. Contact the hiring agency for more information on the specific benefits offered.
You must provide a complete Application Package, which includes:
Required: Your responses to the Questionnaire.
Required: Resume - To meet the minimum qualification requirements for this position, you must show that you possess the specialized experience related to this position within your two-page resume - NOT TO EXCEED 2 PAGES. Resumes over the 2-page limit, will not be reviewed beyond page 2. Your resume should highlight the competencies required for the position and include examples of experience, education, and accomplishments applicable to the qualification(s) and include specific employment dates (month and year and start and ends dates) and differentiate between full-time and part-time work. To help ensure the resume review fully credits your relevant experience, we recommend clearly referencing the competency and specialized experience demonstrated in each position or example you include in your resume. If your resume does not reflect demonstrated evidence of these qualifications, you may not receive consideration for the position. Candidates external to the SEC will be allowed to submit a comprehensive resume for pay setting purposes after a tentative offer is made. If the applicant fails to provide the comprehensive resume by the specified deadline, the resume submitted at the time of application will be used to determine pay. No additional documentation will be accepted after the deadline. Note: Your resume must NOT contain pictures. For external candidates: Information on how your resume will be used for pay setting purposes can be found here.If you are a current SEC employee selected for this position, the standard percentage increases will be applied (i.e., 6% for non-supervisory and 10% for supervisory positions) if your selection results in a promotion. If your selection results in lateral movement (i.e. no change in grade) you will maintain your current salary. If your selection results in a change in grade from an SK-15 to an SK-16 you will maintain your current salary. For helpful guidance for writing a two-page resume, click here.
Required: Accomplishment Record - For each competency, applicants must provide a 300 word or less written narrative describing one example of competency-related experience. Each example should document the position title and dates when the experience was obtained, detailed information about the problem or situation, the specific actions taken by the applicant, and the results or outcomes achieved by those actions. The applicant will also provide the name and contact information of an individual who can verify the provided information. This document must be uploaded to the application under Accomplishment Record. An accomplishment record submitted outside the USA Staffing system will not be accepted.
Required, if applicable: Veteran's documentation (DD-214, member 4 copy or other documentation containing dates of service and character of discharge.)
If you are relying on your education to meet qualification requirements:
Failure to provide all of the required information as stated in this vacancy announcement may result in an ineligible rating or may affect the overall rating.
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.
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/.
Division of Trading and Markets
100 F Street NE
Washington, DC 20549
US
Next steps
You will be notified of your application status through USAJOBS at four points during the hiring process, as applicable. You can check the status of your application by accessing the USAJOBS website at http://usajobs.gov/ and clicking on "Track Your Online Application."
By submitting your application, you are certifying the accuracy of the information contained in your application. If you make a false statement in any part of your application, you may not be hired, you may be terminated after you begin work, or you may be fined or jailed. After making a tentative job offer, we will conduct a suitability/security background investigation. You will be required to submit official documentation before appointment. The agency will then verify the information provided on your application (i.e., degree, Veterans' Preference, certification of disability, etc.).
The Federal hiring process is set up to be fair and transparent. Please read the following guidance.
You must provide a complete Application Package, which includes:
Required: Your responses to the Questionnaire.
Required: Resume - To meet the minimum qualification requirements for this position, you must show that you possess the specialized experience related to this position within your two-page resume - NOT TO EXCEED 2 PAGES. Resumes over the 2-page limit, will not be reviewed beyond page 2. Your resume should highlight the competencies required for the position and include examples of experience, education, and accomplishments applicable to the qualification(s) and include specific employment dates (month and year and start and ends dates) and differentiate between full-time and part-time work. To help ensure the resume review fully credits your relevant experience, we recommend clearly referencing the competency and specialized experience demonstrated in each position or example you include in your resume. If your resume does not reflect demonstrated evidence of these qualifications, you may not receive consideration for the position. Candidates external to the SEC will be allowed to submit a comprehensive resume for pay setting purposes after a tentative offer is made. If the applicant fails to provide the comprehensive resume by the specified deadline, the resume submitted at the time of application will be used to determine pay. No additional documentation will be accepted after the deadline. Note: Your resume must NOT contain pictures. For external candidates: Information on how your resume will be used for pay setting purposes can be found here.If you are a current SEC employee selected for this position, the standard percentage increases will be applied (i.e., 6% for non-supervisory and 10% for supervisory positions) if your selection results in a promotion. If your selection results in lateral movement (i.e. no change in grade) you will maintain your current salary. If your selection results in a change in grade from an SK-15 to an SK-16 you will maintain your current salary. For helpful guidance for writing a two-page resume, click here.
Required: Accomplishment Record - For each competency, applicants must provide a 300 word or less written narrative describing one example of competency-related experience. Each example should document the position title and dates when the experience was obtained, detailed information about the problem or situation, the specific actions taken by the applicant, and the results or outcomes achieved by those actions. The applicant will also provide the name and contact information of an individual who can verify the provided information. This document must be uploaded to the application under Accomplishment Record. An accomplishment record submitted outside the USA Staffing system will not be accepted.
Required, if applicable: Veteran's documentation (DD-214, member 4 copy or other documentation containing dates of service and character of discharge.)
If you are relying on your education to meet qualification requirements:
Failure to provide all of the required information as stated in this vacancy announcement may result in an ineligible rating or may affect the overall rating.
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.
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/.
Division of Trading and Markets
100 F Street NE
Washington, DC 20549
US
Next steps
You will be notified of your application status through USAJOBS at four points during the hiring process, as applicable. You can check the status of your application by accessing the USAJOBS website at http://usajobs.gov/ and clicking on "Track Your Online Application."
By submitting your application, you are certifying the accuracy of the information contained in your application. If you make a false statement in any part of your application, you may not be hired, you may be terminated after you begin work, or you may be fined or jailed. After making a tentative job offer, we will conduct a suitability/security background investigation. You will be required to submit official documentation before appointment. The agency will then verify the information provided on your application (i.e., degree, Veterans' Preference, certification of disability, etc.).
Fair and transparent
The Federal hiring process is set up to be fair and transparent. Please read the following guidance.
