Senior Financial Analyst

Summary The Division of Trading and Markets ("TM"), Office of Clearance and Settlement ("OCS"), is seeking a Senior Financial Analyst (Financial Analyst). OCS administers wide-ranging elements of TM's regulatory program for clearing agencies, transfer agents, and other intermediaries. OCS administers TM's clearance and settlement program. OCS also works closely with other regulators and industry groups, on various legislative and regulatory initiatives. Duties In this role as a Senior Financial Analyst, you will be responsible for:

• Ongoing oversight of SRO operational risk, cybersecurity, and business continuity initiatives and reporting. Conducting periodic meetings with the SROs regarding such topics, including consulting with other regulators to develop an agenda, leading the meeting, and following up on outstanding topics.
• Reviewing and analyzing proposals from SROs related to proposed rule change filings by clearing agencies in the cash and derivatives markets, related to all aspects of a clearing agency's operations, including those related to operational risk, cybersecurity, business continuity, and cloud technology.
• Providing expert-level advice and consultation related to operational risk management, cyber security, and information technology as used by SROs to SEC staff. Also analyzing and developing reports, recommendations, and advice on regulatory developments affecting financial institutions including registered clearing agencies and other financial market infrastructures.
• Leading various OCS special projects as needed, including rulemaking initiatives.
• Preparing and presenting findings and recommendations to senior management within TM, to other offices, and the Chairman and Commissioners. Working closely with OCS attorneys, economists, and analysts, developing regulations and policy, and in connection with proposed rule changes by registered clearing agencies and other self-regulatory organizations involving OCS matters.
• Representing SEC in meetings, conferences and public forums; displaying current knowledge and understanding of policy issues related to the assigned segment of the market; maintaining productive work relationships with international, federal and state government agencies and the securities industry.

Qualifications

Time-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-16: Applicant must have at least one year of specialized experience equivalent to the GS/SK-14 level:

• Planning, directing, or conducting projects related to operational risk, information technology, cybersecurity, cloud technology, and/or infrastructure development at a self-regulatory organization or financial institution, to develop recommendations to senior management based on such projects; AND
• Analyzing or interpreting the regulatory requirements related to operational risk, information technology, cybersecurity, or cloud technology (such as Exchange Act Regulation SCI; the CFTC's System Safeguards rule; the Computer-Security Incident Notification Requirements for Banking Organizations, and Their Bank Service Providers; OCC Bulletin 2023-22, Cybersecurity Supervision Work Program; or similar requirements) as applicable to self-regulatory organizations and/or financial institutes; AND
• Applying or interpreting standards established by the National Institute of Standards and Technology, the Federal Financial Institutions Examination Council, or other similarly situated organizations related to information technology practices.

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: Rule Development: Prepares recommendations for rules that meet desired policy objectives within the Commission's statutory authority or that implement legislation.

Competency 2: Legal and Regulatory Analysis: Conducts analysis and prepares documents and reports in compliance with Federal law that governs the rulemaking process.

Competency 3: Teamwork and Collaboration: Interacts with internal and external others in a manner that advances SEC goals and objectives.

Competency 4: Critical Thinking: Considers a variety of factors, general and subject matter-specific, when making decisions and determining next steps in a case. How you will be evaluated Your resume and application package will first be reviewed to determine whether you meet the minimum qualification requirements outlined in the announcement. Please do not submit an Accomplishment Record at this time.

If you are found minimally qualified, the Office of Human Resources will contact you to request an Accomplishment Record. You will have 3 business days from the date of the request to submit it. Failure to submit the Accomplishment Record on time will remove you from further consideration. A response is required even if an Accomplishment Record was submitted at time of application. Because of the short turnaround time, you are strongly encouraged to begin preparing your Accomplishment Record in advance.

Once your Accomplishment Record is received, a rating panel will review both your resume and your narrative responses. Your Accomplishment Record must clearly demonstrate your proficiency in the competencies listed in the Qualifications section. Click here for guidance on writing your Accomplishment Record.

Your resume must provide evidence that supports the claims in your Accomplishment Record. Each narrative must describe one specific, relevant example from your experience or training. Responses are limited to 300 words per competency; any text beyond this limit will not be reviewed.

Accomplishment Record 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

Reference checks may be conducted as part of the final selection process, and you will be notified before any contacts are made.

Basis for Rating: The rating panel will evaluate applicants' accomplishment records and resume, then place them into one of the following categories:

• Highly Qualified - Meets the minimum qualification requirements and has extensive skills and experience in most of the job related competencies.
• Well Qualified - Meets the minimum qualification requirements and has a moderate amount of skills and experience in most of the job related competencies.
• Qualified - Meets the minimum qualification requirements, but may have a limited amount of experience in several of the job related competencies.

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).

To preview the Questionnaire, click https://apply.usastaffing.gov/ViewQuestionnaire/13110758How to apply To apply for this position, you must complete the online application and submit the documentation specified in the Required Documents.

A complete application package must be submitted by 11:59 PM (EST) on the closing date of the announcement to receive consideration. No additional documentation will be accepted after the closing date of the announcement.

• 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/. Other information 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.

SEC COMPENSATION PROGRAM: Total salary (base pay + locality) is dependent upon duty location. The overall salary range listed above is provided for informational purposes. The pay for current SEC employees will be determined according to the procedures specified in the agency's policy. If your selection results in a change in grade from an SK-15 to an SK-16, you will maintain your current salary.

IMPORTANT INFORMATION FOR SURPLUS OR DISPLACED FEDERAL EMPLOYEES: If you have never worked for the federal government, you are not I/CTAP eligible. To receive selection priority for this position, you must: (1) meet CTAP or ICTAP eligibility criteria; the questionnaire asks you to identify your ICTAP/CTAP eligibility (2) be rated well-qualified; and, (3) submit the appropriate documentation to support your CTAP or ICTAP eligibility. View information about I/CTAP eligibility on OPM's Career Transition Resources website.

Disability Employment: For information on disability appointments, click here.

Reasonable Accommodation: If you are an applicant who needs a reasonable accommodation to participate in the SEC application process due to a medical disability, please contact reasonableaccommodation@sec.gov. For religious-based accommodations, please contact religiousaccommodation@sec.gov . 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: For more information, please click here.

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.