About this role
Job SummaryThe Division of Trading and Markets (TM), Office of Market Supervision (OMS) is seeking a Supervisory Financial Analyst (Assistant Director). OMS broadly focuses on market structure for equities, derivatives, and fixed income and securities-based trading platforms such as national securities exchanges, security-based swap execution facilities, security futures exchanges, and alternative trading systems. The office oversees rules and policy related to the national market system.
QualificationsTime-in-grade for this announcement is one year at the GS/SK-14 level. 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-17: Applicant must have at least one year of specialized experience equivalent to the GS/SK-14 level: Providing advice, counsel and recommendations related to sensitive and complex policy or regulatory programs, issues, and problems; and Undertaking or managing data-driven analytics work and practical research involving financial markets and products overseen by the Securities and Exchange Commission (SEC); and Serving as a technical expert on market practices, operations, and innovations in areas related to the markets and market participants regulated by the SEC. 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: Teamwork and Collaboration: Interacts with internal and external others in a manner that advances SEC goals and objectives. Competency 3: Workload Management: Effectively prioritizes workload in a way that accommodates unforeseen developments and achieves successful outcomes. Competency 4: Critical Thinking: Considers a variety of factors, general and subject matter-specific, when making decisions and determining next steps.
Major DutiesIn this role as an Assistant Director you will be responsible for: Planning, directing, and supervising a program of regulation of the securities industry, both directly and through supervision of industry self-regulation; managing projects that may involve review and analysis of significant rule change proposals submitted by self-regulatory organizations (SROs), the development and implementation of Commission rulemaking to address issues in the national market system issues, or requests for interpretation of or relief from the Federal securities laws. Performing the administrative and human resource management functions relative to the staff supervised; planning, scheduling, and assigning work to subordinates. Establishing guidelines and performance expectations for staff members; providing feedback and periodically evaluating employee performance. Providing advice, counsel, and instruction to staff members and organizing task forces consisting of attorneys and other professionals within the office and across the Commission. Assisting the senior staff in the Division, and other offices and divisions in the Commission, on a wide array of matters relating to securities and financial markets. Participating in advising on policy matters relating to the securities and financial markets and provide technical assistance in the development and implementation of major SEC initiatives in the securities area. Leading staff teams in the preparation of regulatory materials; summarizes factual issues involved; briefing Commission and TM leadership; and presenting recommendations as to proper course of action. Assisting the Director, the Deputy Director, and the Associate Directors in developing additional rules, regulations, and policies designed to ensure appropriate and effective oversight of national securities exchanges, national securities associations, security-based swap execution facilities, broker-dealers, alternative trading systems, securities information processors, and other regulated entities. Providing professional legal advice and guidance to a range of individuals in SEC and other agencies as appropriate. Advising on questions of structure and operations of the national securities exchanges, the Financial Industry Regulatory Authority (FINRA) and the Municipal Securities Rulemaking Board (MSRB) or the implementation of new regulatory initiatives and policy that affect their operations; serves as SEC's representative for discussions regarding assigned program areas.