Posted August 06, 2026
Broker-Dealer Financial Risk Analyst
Division of Trading and Markets
Washington, D.C.
Full Time
Reference: DivisionofTradingandMarkets879503500
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. 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:
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.
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: Critical Thinking: Considers a variety of factors, general and subject matter-specific, when making decisions and determining next steps in a case.
Competency 2: Workload Management: Effectively prioritizes workload in a way that accommodates unforeseen developments and achieves successful outcomes.
Competency 3: Teamwork and Collaboration: Interacts with internal and external others in a manner that advances SEC goals and objectives.
Competency 4: Legal and Regulatory Analysis: Conducts analysis and prepares documents and reports in compliance with Federal law that governs the rulemaking process.
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.
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-14: Applicant must have at least one year of specialized experience equivalent to the GS/SK-13 level:- Analyzing financial information in a financial institution (i.e. broker-dealer, primary dealer, clearing agency, commercial bank, or hedge fund) using advanced functions in Bloomberg, Copilot or Excel (i.e. pivot tables, complex charts, vlook-ups, macros, or advanced sorts/filters); and
- Authoring reports or memos that explain the results of financial analysis.
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: Critical Thinking: Considers a variety of factors, general and subject matter-specific, when making decisions and determining next steps in a case.
Competency 2: Workload Management: Effectively prioritizes workload in a way that accommodates unforeseen developments and achieves successful outcomes.
Competency 3: Teamwork and Collaboration: Interacts with internal and external others in a manner that advances SEC goals and objectives.
Competency 4: Legal and Regulatory Analysis: Conducts analysis and prepares documents and reports in compliance with Federal law that governs the rulemaking process.
