Job Listing
Broker-Dealer Financial Risk Analyst
Securities and Exchange Commission · Posted 57 days ago
About the Role
The Division of Trading and Markets (TM) is seeking a Financial Analyst (Broker-Dealer Financial Risk Analyst) to support the supervision of broker-dealers and the financial responsibility requirements, including protection of customer assets held by broker-dealers. This position supports the 17(H) Risk Assessment Program and serves an integral role within the Office of Broker-Dealer Finances (OBDF) Working Group, using a variety of financial data to provide comprehensive analysis.
What You'll Do
- →As a Broker-Dealer Financial Risk Analyst, you will support the supervision of broker-dealers and the financial responsibility requirements, including protection of customer assets held by broker-dealers.
- →Under OBDF, the 17(H) Risk Assessment Program monitors concerns that arise regarding the financial conditions of a broker-dealer, its holding company, and its affiliates pursuant to sections 17h-1T and 17h-2T of the Exchange Act.
- →This position supports the 17(H) Risk Assessment Program and serves an integral role within the OBDF Working Group, using a variety of financial data to provide comprehensive analysis.
- →In this role as a Broker-Dealer Financial Risk Analyst, you will be responsible for: Serving as a technical expert on understanding financial conditions and issues related to liquidity, market, credit, and operations risk at regulated entities.
- →Reviewing and analyzing 17(H) filings of assigned broker-dealers for compliance and to understand the structure of regulated entities and interconnectedness with material affiliates.
- →Performing risk monitoring activities over customer carrying and clearing broker-dealer business and 15c3-1 and 15c3-3 compliance.
- →Performing financial analysis to identify, assess and aggregate risk.
- →Conducting extensive research of industry, academic, and media financial information and data to present current securities industry trends and emerging issues affecting regulated broker-dealer entities.
- →Being proficient in gathering, combining and reporting on large quantities of financial data.
- →Researching and analysis of data sets to identify patterns or trends to augment risk assessment and risk monitoring over regulated entities.
- →Using various technical tools (databases, statistical programming, or analytical tools) to enhance data management and analytical capabilities.
- →Preparing and presenting findings and recommendations of the review and analysis to TM senior leadership.
Personality Fit
Job ID: 290fbd27-744d-43b4-bb95-4a943eb77be1
Posted via USAJobs