Become a Risk Strategist with the SEC
Are you prepared to influence the future of financial regulation? The Securities and Exchange Commission (SEC) is currently seeking a highly skilled Securities Compliance Examiner (Risk Strategist) to join the Division of Examinations (EXAMS) in San Francisco. This position is perfect for professionals who thrive on complex data, strategic risk assessment, and protecting the integrity of the capital markets.
Job Responsibilities
As a Risk Strategist, you will be at the forefront of the agency’s mission to monitor risks and prevent fraud. Key responsibilities include:
- Risk Monitoring: Utilizing databases, models, and industry intelligence to spot trends in broker-dealers and investment advisers.
- Advisory Support: Providing expert guidance to senior management regarding examination scoping and policy development.
- Analytical Excellence: Planning and executing complex studies on novel industry trends.
- Surveillance: Conducting ongoing surveillance of regulated entities to identify emerging risks.
Comparison of Key Qualifications
| Requirement | Level/Focus |
|---|---|
| Experience | Equivalent to GS/SK-14 |
| Core Competency 1 | Risk Assessment & Analysis |
| Core Competency 2 | Data Information Gathering |
| Resume Limit | 2 Pages Max |
Requirements
To be considered, candidates must demonstrate at least one year of specialized experience at the SK-14 level or higher. You must be prepared to detail your experience in identifying risks and briefing senior leadership. All applicants must meet the application requirements before the closing date of October 29, 2026.
Salary Overview
The salary for this position is highly competitive, ranging from $191,047 to $292,300 per year, depending on qualifications and agency policy.
Benefits
The SEC provides a robust compensation package, including:
- Exceptional federal health and retirement benefits.
- Opportunities for specialized professional training.
- A mission-driven environment that values work-life integration.
Application Tips
- Respect the Limit: Strictly adhere to the two-page resume requirement.
- Prep Your Narratives: Since you only have 3 days to provide an Accomplishment Record once requested, write your 300-word competency drafts now.
- Tailor Your Evidence: Ensure every accomplishment in your resume clearly links to one of the four required competencies.
Frequently Asked Questions (FAQ)
Q: Is a security clearance required? A: Yes, this role is designated as a High Risk (HR) position, and successful candidates will undergo a suitability/fitness investigation.
Q: Can I apply if I have never worked for the federal government? A: Yes, this position is open to the public.
This role is an ideal transition for financial professionals who want to pivot their analytical skills toward public service. Apply by October 29, 2026, to ensure your materials are reviewed for this prestigious position.
Why This Securities Compliance Examiner - Risk Strategist Job Matters
Protect market integrity and shape the future of financial regulation as a Risk Strategist with the SEC.
Securities Compliance Examiner - Risk Strategist Job Overview
The Securities and Exchange Commission (SEC) is hiring a high-level Securities Compliance Examiner (Risk Strategist) to join the Division of Examinations (EXAMS). This role is critical in identifying emerging financial risks and conducting deep-dive analytical studies to support the integrity of the nation's securities markets.
Requirements for Securities Compliance Examiner - Risk Strategist
- At least one year of specialized experience equivalent to the GS/SK-14 level.
- Must be able to provide expert analysis and identify emerging risks within the securities industry.
- Proven ability to brief senior management on complex regulatory issues.
- Experience developing recommendations or reports to resolve compliance findings.
- Must be a U.S. citizen or national.
Preferred Qualifications for Securities Compliance Examiner - Risk Strategist
- Strong background in analyzing broker-dealer, investment adviser, or private fund operations.
- Expertise in utilizing data-driven models and advanced databases for risk surveillance.
- Demonstrated ability to identify and interpret novel market trends.
- Experience collaborating on internal risk assessment policies and cross-functional team projects.
Federal Benefits & Perks
- ✓Competitive Federal salary and benefits package.
- ✓Opportunities for professional development and exposure to industry-leading experts.
- ✓Work-life balance initiatives.
- ✓Collaborative and mission-driven work environment.
- ✓Access to agency-specific compensation programs.
💡 How to Apply Securities Compliance Examiner - Risk Strategist Job & Insider Tips
Application Steps for Securities Compliance Examiner - Risk Strategist Job
- Log in or create a USAJOBS account.
- Submit your resume (strictly limited to two pages).
- Complete the online questionnaire.
- Attach required documentation, such as veterans' preference documents or CTAP/ICTAP proof if applicable.
- Monitor your email for a potential request for an Accomplishment Record.
- Submit the Accomplishment Record within 3 business days if requested.
💡 General Tips
- Keep your resume to exactly two pages; exceeding this limit will result in immediate disqualification.
- Prepare your Accomplishment Record narratives in advance; you will only have 3 business days to submit them if contacted.
- Ensure your resume explicitly maps to the competencies listed (Analysis, Critical Thinking, Information Gathering, Managing Information).
- Double-check that all required documents are attached before the closing date.
- Focus your narratives on specific situations, your actions, and the measurable outcomes.
Frequently Asked Questions
What is the page limit for my resume?
Your resume must be no longer than two pages. Resumes exceeding this limit will be deemed ineligible.
Do I need to submit an Accomplishment Record right away?
No, do not submit an Accomplishment Record with your initial application. The agency will contact you to request it if you are found minimally qualified.
Job from Securities And Exchange Commission
The SEC is a federal agency tasked with protecting investors, maintaining fair and efficient markets, and facilitating capital formation. Working at the SEC offers unparalleled opportunities to learn from the nation’s foremost financial experts while making a tangible difference in the lives of American investors.