Senior Officer-Associate Director: Shaping Financial Regulation at the SEC

The Securities and Exchange Commission (SEC) serves as the guardian of the American capital markets. For financial professionals, few roles offer the prestige and influence of a leadership position within the Division of Trading and Markets. The Office of Broker-Dealer Finances (OBDF) is currently seeking a Senior Officer-Associate Director to oversee the critical financial frameworks that keep our markets stable. This is a unique opportunity to shape policy, manage regulatory risk, and collaborate with top-tier financial regulators.

Job Responsibilities

As a Senior Officer, your duties will span the strategic to the tactical:

Leadership: Co-lead the OBDF in interpreting and developing amendments to financial responsibility rules.
Policy Development: Recommend new policies based on emerging market developments in equity, debt, and derivatives.
Regulatory Oversight: Assess internal risk management practices at large broker-dealers and security-based swap dealers.
Stakeholder Engagement: Act as a primary liaison with the CFTC, the Treasury, and other high-ranking government and industry entities.

Requirements

This position requires a high level of specialized experience. You must be able to demonstrate at least one year of experience equivalent to the GS-14/SK-14 federal grade. This includes:

Advanced knowledge of quantitative models and stress testing (VaR).
A proven ability to interpret and apply federal securities laws.
Exceptional communication skills to lead rulemaking initiatives.

Candidate Comparison

Feature	Requirements
Citizenship	Must be a U.S. Citizen
Experience Level	Equivalent to GS-14/SK-14
Resume Limit	Strictly 2 Pages
Background Check	High Risk (HR) Suitability

Salary Overview

This position offers a competitive salary range of $207,830 to $315,481 per year. Initial salary is determined based on the applicant's experience, federal guidelines, and agency policy.

Benefits

Comprehensive health and retirement plans.
Exposure to high-level policy decision-making.
Professional mentorship from national experts.
A workplace that prioritizes professional growth and stability.

Application Tips

The SEC selection process is rigorous. To succeed, ensure your resume is concise—the two-page limit is non-negotiable. Begin drafting your potential Accomplishment Record entries early, focusing on the STAR method (Situation, Task, Action, Result) for each competency.

Serving as a Senior Officer-Associate Director at the SEC is more than a job; it is a commitment to the integrity of the global financial system. If you meet these qualifications, prepare your application carefully and join the team responsible for upholding the standards of the American investing public.

Why This Senior Officer-Associate Director (Office Of Broker-Dealer Finances) Job Matters

Shape the future of financial market integrity at the SEC. Join the Division of Trading and Markets as a Senior Officer-Associate Director and influence the regulatory landscape for broker-dealers.

Senior Officer-Associate Director (Office Of Broker-Dealer Finances) Job Overview

The Securities and Exchange Commission (SEC) is hiring a Senior Officer-Associate Director to co-lead the Office of Broker-Dealer Finances (OBDF) in Washington, DC. This high-impact leadership role focuses on financial responsibility, capital, and liquidity requirements for broker-dealers and security-based swap dealers. You will provide strategic guidance, oversee complex risk management evaluations, and influence critical regulatory policy.

Requirements for Senior Officer-Associate Director (Office Of Broker-Dealer Finances)

Must be a U.S. Citizen.
Minimum of one full year of specialized experience equivalent to the GS-14/SK-14 level.
Expertise in monitoring risk management practices at large broker-dealers.
Experience approving and monitoring quantitative models (VaR, stress testing) for large firms.
Proven ability to conduct targeted cross-firm examinations.
Must be able to successfully undergo a high-risk security and suitability background investigation.
Submit a complete application package including the mandatory online questionnaire and a resume (strictly capped at two pages).
Must be prepared to submit an Accomplishment Record within 3 business days if contacted by Human Resources.

Preferred Qualifications for Senior Officer-Associate Director (Office Of Broker-Dealer Finances)

Demonstrated excellence in organizational leadership and long-term strategic planning.
Strong record of building coalitions and negotiating with federal, state, and private-sector stakeholders.
Expertise in federal securities law and the nuances of the rulemaking process.
Advanced analytical skills regarding marketplace risks, debt, derivatives, and equity market structures.
Experience managing and mentoring high-performing teams to meet complex regulatory goals.

Federal Benefits & Perks

✓Competitive federal salary and compensation programs.
✓Comprehensive health and life insurance options.
✓Participation in the federal retirement system.
✓Opportunities for professional development and exposure to national financial policy experts.
✓Work-life balance initiatives tailored to the federal workplace.

💡 How to Apply Senior Officer-Associate Director (Office Of Broker-Dealer Finances) Job & Insider Tips

Application Steps for Senior Officer-Associate Director (Office Of Broker-Dealer Finances) Job

Verify your eligibility and ensure all documents are ready for submission.
Complete the online application via the USAJOBS portal.
Submit your resume (maximum 2 pages) and the required online questionnaire.
Monitor your status via the USAJOBS dashboard.
If found minimally qualified, prepare your Accomplishment Record for the 3-day turnaround request.
Participate in interviews and follow-up vetting as requested by the hiring team.

💡 General Tips

Keep your resume strictly to two pages; documents exceeding this length will be disqualified.
Prepare your Accomplishment Record narratives in advance to meet the tight 3-day response window.
Focus your narratives on specific situations, your actions, and the measurable outcomes/impact.
Double-check that your resume provides clear, dated evidence of your specialized experience.
Ensure all contact information for verifiers is accurate and current.

Frequently Asked Questions

What is the primary focus of this position?

The Associate Director co-leads the Office of Broker-Dealer Finances, ensuring compliance with capital, liquidity, and financial responsibility rules for broker-dealers and swap participants.

What if my Accomplishment Record is late?

The 3-day turnaround is strict; failure to provide the requested document within the window will remove you from further consideration.

Is a security clearance required?

This position is designated as 'High Risk,' requiring a suitability/fitness investigation.

How will I know if I need to submit an Accomplishment Record?

If you are found minimally qualified, the Office of Human Resources will email you directly with a 3-day deadline.

Can I submit my application after the closing date?

No. The deadline is final at 11:59 PM EST on September 2, 2026.

Job from Securities And Exchange Commission

The SEC is committed to protecting investors, maintaining fair and orderly markets, and facilitating capital formation. By joining the Division of Trading and Markets, you become part of a team tasked with the complex duty of overseeing the entities that facilitate daily trading across the nation. The agency prides itself on a culture of excellence, offering career expansion that is rarely matched in the private sector.