The Division of Investment Management (IM) works to support the SEC in its mission to protect investors, maintain fair, orderly, and efficient markets, and facilitate capital formation. IM regulates investment companies, variable insurance products, and federally registered investment advisers. IM's Analytics Office, Analytics Office No. 1, is seeking to fill one Senior Financial Analyst position in Washington, DC, New York, NY, Boston, MA, Chicago, IL or Los Angeles, CA.

Duties

At the Securities and Exchange Commission (SEC), we are committed to diversity, equity, inclusion and accessibility (DEIA) and value a workforce that reflects the diverse experiences and perspectives of the communities we serve. As such, we welcome applications from qualified individuals of all backgrounds who share our commitment to public service. Duties: Design and implement monitoring programs within the Division. Assists in developing expertise and technical capabilities of Division personnel regarding the asset management industry, including products and entities subject to regulation under the Investment Company Act of 1940 and the Investment Advisers Act of 1940, such as registered funds (including mutual funds, ETFs, and/or money market funds), registered investment advisers, and/or private funds. Serve as liaison to other Divisions on matters relating financial or operational aspects of the asset management industry. Assists the Division and Commission in developing regulatory policy for the asset management industry. Plan, organize, and conduct analytical reports and studies regarding the asset management industry, of a type and depth requiring specialized expertise and operational experience. Review and analyze data regarding the asset management industry and reports to senior Division management on developing risks and recommended regulatory response regarding the asset management industry. Communicate, both orally and in writing, on issues relating to the asset management industry to internal and external audiences holding divergent and conflicting views, including other federal agencies, the asset management industry, national and international conferences, and other professional experts.

Requirements

• 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 SK-16.
• PROBATIONARY PERIOD: This appointment may require completion of a one-year 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 in the collective bargaining unit.
• 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. Time-in-grade for this announcement is one year at the GS/SK-14 level. 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: SK-16: Applicant must have at least one year of specialized experience equivalent to the GS/SK-14 level: Providing guidance as an expert, and with minimal or no supervision, with regard to financial or operational issues in the asset management industry, including products and entities subject to regulation under the Investment Company Act of 1940 and the Investment Advisers Act of 1940, such as registered funds (including mutual funds, ETFs, and money market funds), registered investment advisers, and/or private funds; AND Providing analysis as an expert, and with minimal or no supervision, on contemporary trends and relevant regulatory requirements relative to the asset management industry, including products and entities subject to regulation under the Investment Company Act of 1940 and the Investment Advisers Act of 1940, such as registered funds (including mutual funds, ETFs, and money market funds), registered investment advisers, and/or private funds; AND Dealing with issues that required thorough knowledge of the overall structure of financial services regulation in the United States, including the roles of the Commission, the Federal Reserve Board, the Treasury Department, and other government agencies; AND Dealing with issues that required a thorough knowledge of other capital markets products and institutions.

Contacts

• Address Division of Investment Management 100 F Street NE Washington, DC 20549 US
• Name: ask HR
• Email: [email protected]