Financial Analyst

Washington D.C.
$95,470 to $160,155 per year
19 Feb 2021
21 Mar 2021
Employment Type
Full Time

The Division of Trading and Markets establishes and maintains standards for fair, orderly, and efficient markets. It regulates the major securities market participants, including broker-dealers, self-regulatory organizations-such as stock exchanges, Financial Industry Regulatory Authority, and clearing agencies-and transfer agents.

The position is located in Washington, DC.


The Division of Trading and Markets' Risk Supervised Broker-Dealer ("RSBD") program is responsible for oversight of broker-dealers approved to use internal models to compute net capital deductions for market and credit risk. This includes Alternative Net Capital ("ANC") broker-dealers approved under CFR 240.15c3-1e and Over-the-Counter Derivatives Dealers ("OTCDDs") approved under CFR 240.15c3-1f ("registered entities"). As a condition of approval, ANC broker-dealers and OTCDDs are required to maintain internal risk management controls pursuant to CFR 204.15c3-4. RSBD conducts oversight of the internal risk management control systems and modeled risk deductions to net capital for broker-dealers approved to use internal models.

Typical duties for a Financial Analyst are outlined below:

  • Coordinate the production of a monthly management book that highlights outstanding firm issues, provides a detailed analysis of financial risks at each firm, and summarizes regular discussions with the firms. Sections of the book include: issue tracking reports, liquidity and funding reports, market reports, financial and risk reports, and internal audit report summaries.
  • Use spreadsheets, databases, and statistical software such as VBA, SQL, Python, or SAS to analyze complex datasets to enhance ongoing supervision of registered entities and to support rulemaking.
  • Create ad hoc analyses to evaluate firm-level matters, market events, and industry developments, and distill technical concepts into clearly written management briefs.
  • Analyze registered-entity data such as FOCUS reports, Supplemental Statements of Income, Off Balance Sheet reports, annual audited financial statements, risk metrics, CDS portfolio margining statistics, prime brokerage metrics, and equity swap metrics.
  • Contribute to the review of registered entities' control functions such as market, credit, and liquidity risk management, internal audit, product control, independent price verification, and new product approvals. Assist lead analysts in identifying significant changes to a firm's risk profile, and note any exposures of concern. Summarize key findings in writing for senior management briefings.
  • Conduct oral presentations on a variety of technical topics in various settings including staff from other Divisions, senior leaders, and larger group presentations.

Travel Required

Occasional travel - You may be expected to travel for this position.


All qualification requirements must be met by the closing date of this announcement.

Time-in-grade for this announcement is one year at the GS/SK-11 level.

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.


SK-12: Applicant must have at least one year of specialized experience equivalent to the GS/SK-11 level:

Developing tools, applications, and approaches for monitoring financial or operational risks and interpreting the results;

Analyzing financial statements and risk metrics related to financial institutions; and

Communicating technical information clearly in written and oral formats.

Additional information

Disability Employment: For information on disability appointments, please visit

  • You need to sign in to save