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Financial Analyst

Employer
US Securities and Exchange Commission
Location
Washington, DC
Closing date
Oct 16, 2019

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The Division of Trading and Markets conducts significant rulemaking efforts and has significant market structure initiatives ongoing that contribute to the rulemaking agenda for the Division. Subject Matter Experts provide comprehensive review and evaluation of operational activities specifically as it relates to market structure projects (market monitoring, equity, options, fixed income, and market operations) and securities industry rulemaking analysis and interpretive functions. Typical Duties: Provide complex data analysis as it relates to the internal business process, execution of operations and rulemaking efficiencies while developing robust documentation detailing the activities of the Division. Develop a comprehensive data management and reporting regime and the tools necessary to support these tasks long-term. Provide policy and advisory guidance to TM's offices using substantive knowledge and analytical skills regarding various business processes, specific to the securities industries, market structure, regulations, and procedures to ensure that the infrastructure capabilities are comprehensive enough to meet TM's regulatory responsibilities. Oversee and lead comprehensive reviews and evaluations of baseline activities across a vast set of operations that include rulemaking implementation, asset classes, data assessments and reporting, technology assessment and advancement, enforcement case management, knowledge management, organizational risk management, and business requirements. Provide technical guidance on the appropriate method or procedure needed to accomplish program objectives and will be responsible for resource alignment both for project and program tasks as well as for customer programs and offices. Using complex quantitative and qualitative decision based models; this candidate must be able to deliver effectiveness and efficiency improvements associated with SRO rule filing, confidential treatment filing, market structure research, public comment interactions and many other financial and other industry regulatory operations. 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 (eg, Peace Corps, AmeriCorps) and other organizations (eg, 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 : SK-16: Applicant must have at least one year of specialized experience equivalent to the GS/SK-14/SK-15 level. Specialized experience includes at least three (3) of the four (4) areas: Knowledge of broker-dealer financial filings, market structure proposed rule filings, along with its underlying products and major securities market participants regulatory mission programs in order to assess and analyze strategic plans and initiatives; Experience on market structure topics and trends to develop an extensive knowledge mapping mission programs and projects in the administration of Commission rules under the 1934 Securities Exchange Act and Dodd-Frank Wall Street Reform and Consumer Protection Act; Ability to apply technical knowledge of mission programs administering Commission rules specific to Reg NMS, broker-dealer financial responsibility rules, trading and anti-manipulation rules, national system of clearance and settlement, derivate policy rules, or others rules to assess mission programs, identify risks and controls, and facilitate annual management assurance program assessments; AND/OR Ability to conduct stakeholder interviews and research of rule requirements to advise business unit management and leaders on policies and procedures for ongoing execution of mission programs, including rulemaking broker-dealer consolidated financial and operational reporting, national clearance and settlement legal and risk management filing and reporting, market structure quantitative analysis, Securities Investor Protection Corporation oversight, SRO designated examining authorities over broker-dealers, and others. Education This job does not have an education qualification requirement.

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