Risk and Compliance Officer

About the role

The Division of Enforcement's Office of the Chief Risk and Compliance Officer (OCRCO) is seeking a Management and Program Analyst (Risk and Compliance Officer). The OCRCO is responsible for overseeing the Division's risk and compliance program.

The OCRCO includes the Division's "961 Program" (pursuant to the Dodd-Frank Wall Street Reform and Consumer Protection Act) and the Division's Management Assurance Program (pursuant to the Federal Managers Financial Integrity Act of 1982).

What you will do

• Identifying, evaluating and mitigating operational, legal and policy risks across all ENF functions, including investigative and litigation activities.
• Developing and implementing a monitoring and testing regime.
• Drafting and providing periodic risk and compliance reports to senior leadership which support required attestations and certifications.
• Drafting, reviewing, and updating policies and procedures addressing identified risks and gaps.
• Developing training programs and materials in partnership with ENF's Training Unit.
• Educating staff on key risks, identified findings, and new or updated policies and procedures.

How you will be evaluated

Your resume and application package will first be reviewed to determine whether you meet the minimum qualification requirements outlined in the announcement. Please do not submit an Accomplishment Record at this time. If you are found minimally qualified, the Office of Human Resources will contact you to request an Accomplishment Record.

You will have 3 business days from the date of the request to submit it.

Failure to submit the Accomplishment Record on time will remove you from further consideration.

A response is required even if an Accomplishment Record was submitted at time of application. Because of the short turnaround time, you are strongly encouraged to begin preparing your Accomplishment Record in advance. Once your Accomplishment Record is received, a rating panel will review both your resume and your narrative responses.

Your Accomplishment Record must clearly demonstrate your proficiency in the competencies listed in the Qualifications section. Click here for guidance on writing your Accomplishment Record. Your resume must provide evidence that supports the claims in your Accomplishment Record.

Each narrative must describe one specific, relevant example from your experience or training. Responses are limited to 300 words per competency; any text beyond this limit will not be reviewed.

Accomplishment Record Format: Competency Title Position title and dates from your resume that this experience was obtained Describe the situation (i.e., the challenged faced, the problem solved) Describe the specific actions you took State the outcome, results, or long-term impact of your accomplishment Name and email address of someone who can verify this information Reference checks may be conducted as part of the final selection process, and you will be notified before any contacts are made.

Basis for Rating: The rating panel will evaluate applicants' accomplishment records and resume, then place them into one of the following categories: Highly Qualified - Meets the minimum qualification requirements and has extensive skills and experience in most of the job related competencies.

Well Qualified - Meets the minimum qualification requirements and has a moderate amount of skills and experience in most of the job related competencies. Qualified - Meets the minimum qualification requirements, but may have a limited amount of experience in several of the job related competencies.

Top ranked applicants will be referred to the hiring office for further review and consideration. The hiring office may directly contact recommended candidates for interview(s). To preview the Questionnaire, click ***

Documents you must provide

• Your responses to the Questionnaire.
• Required: Resume - Resumes should include relevant work experience, with specific employment dates, that demonstrates qualifications for the specialized experience and competencies as outlined above.
• If your resume does not reflect demonstrated evidence of these qualifications, you may not receive consideration for the position.
• Resumes that exceed two pages will be deemed ineligible and receive no further consideration.
• For resume writing tips, visit USAJOBS and the SEC careers page.
• Required, if applicable: CTAP documentation (a copy of a separation notice or other proof of eligibility for priority selection; a copy of an SF-50, Notification of Personnel Action, showing current position, grade, promotion potential, and duty location; AND a copy of your most recent performance appraisal.) SEC EMPLOYEES: OHR will verify your competitive service eligibility via the SEC's personnel database.

What to expect next

You will be notified of your application status through USAJOBS at four points during the hiring process, as applicable.

You can check the status of your application by accessing the USAJOBS website at *** and clicking on "Track Your Online Application." By submitting your application, you are certifying the accuracy of the information contained in your application.

If you make a false statement in any part of your application, you may not be hired, you may be terminated after you begin work, or you may be fined or jailed. After making a tentative job offer, we will conduct a suitability/security background investigation.

You will be required to submit official documentation before appointment.

The agency will then verify the information provided on your application (i.e., degree, Veterans' Preference, certification of disability, etc.).

Additional information

Supplementary vacancies may be filled in addition to the number stated in this announcement and may be filled from any division or office within the agency. SEC COMPENSATION PROGRAM: Total salary (base pay + locality) is dependent upon duty location. The overall salary range listed above is provided for informational purposes.

The pay for current SEC employees will be determined according to the procedures specified in the agency's policy. If your selection results in a change in grade from an SK-15 to an SK-16, you will maintain your current salary. IMPORTANT INFORMATION FOR SURPLUS OR DISPLACED FEDERAL EMPLOYEES: If you have never worked for the federal government, you are not I/CTAP eligible.

To receive selection priority for this position, you must: (1) meet CTAP or ICTAP eligibility criteria; the questionnaire asks you to identify your ICTAP/CTAP eligibility (2) be rated well-qualified; and, (3) submit the appropriate documentation to support your CTAP or ICTAP eligibility. View information about I/CTAP eligibility on OPM's Career Transition Resources website.

Disability Employment: For information on disability appointments, click here. Reasonable Accommodation: If you are an applicant who needs a reasonable accommodation to participate in the SEC application process due to a medical disability, please contact ***. For religious-based accommodations, please contact *** .

Please be sure to submit your request at least 5 business days in advance of the date you need the requested accommodation. Equal Employment Opportunity (EEO) Information for SEC Job Applicants: For more information, please click here.

The Fair Chance Act prohibits specific inquiries concerning an applicant's criminal or credit background unless the hiring agency has made a conditional offer of employment to the applicant.

An applicant may submit a complaint, or any other information, to the agency within 30 calendar days of the date of alleged non-compliance by contacting the Legal and Policy Office in the Office of Human Resources at ***.