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Senior Securities Examiner

Senior Securities Examiner
Gardiner, Maine, United States
Full-time
Department of Professional and Financial Regulation, Office of Securities
Opening Date: September 27, 2018
Closing Date: October 26, 2018
Job Class Code: 0349
Grade: 24
Salary: $40,227 ? $54,516
Location: Gardiner
The Maine Department of Professional and Financial Regulation Office of Securities seeks a Senior Securities Examiner.
Primary responsibilities include:
+ Conduct broker-dealer and investment adviser field and desk examinations to ensure compliance with state law, rules, and regulations
+ Review license applications for broker-dealers, investment advisers, and representatives
+ Examine quality of books, records, applications, internal controls, client files, correspondence, and related transactions in order to determine that transactions are conducted in accordance with applicable law, regulations, and policy
+ Analyze and evaluate financial transactions and positions and monitor company operations to ensure they operate consistent with legal requirements
+ Develop and maintain accurate restitution records and contact restitution recipients as required
+ Meet with and maintain contact with securities firms and industry professionals in order to discuss examination findings
+ Assist investigative staff with the review and analysis of financial and transactional information as part of consumer complaint and enforcement activities
+ Testify at hearings in order to explain examination findings
+ Prepare examination reports with findings and recommendations as well as supporting data
+ Assist investigative staff with the review and analysis of financial and transactional information as part of consumer complaint and enforcement activities
To be successful in the position you must have knowledge of and experience in:
+ Reaching logical conclusions and making sound recommendations
+ Writing clear, effective, concise, and precise reports
+ Managing multiple tasks on a daily basis
+ Acting as a lead worker in group projects
Qualifications:
A six (6) year combination of education, training, and/or experience in the securities industry, securities regulation, corporate finance, or accounting and auditing, which includes at least one (1) year of financial examination work experience.
Questions about this position should be directed to Samuel M. Carter, Esq., Director of Examination & Licensing, at (207) 624-8548 or samuel.m.carter@maine.gov.
Application Instructions:
Interested applicants need to apply online by selecting the "Apply for this opening" button along with uploading a cover letter, current resume, copies of post-secondary transcripts, licensing, registration and certifications. If you require a paper application, please contact Human Resources at 623-6700.
Contact Information:
Annette Caron Nash, Human Resources, at (207)623-6734 or Annette.Caron-Nash@maine.gov
Benefits:
The value of State?s share of Employee?s Retirement Contribution: 15.37% of pay for bargaining unit positions and 20.17% of pay for Confidential positions
The value of State-paid Dental Insurance: $13.13 biweekly.
The value of State-paid Health Insurance:
100% State Contribution = $444.68 biweekly / Employee pays nothing
95% State Contribution = $422.45 biweekly / Employee pays: 5% = $22.23 biweekly
90% State Contribution = $400.21 biweekly / Employee pays:10% = $44.47 biweekly
85% State Contribution = $377.98 biweekly / Employee pays:15% = $66.70 biweekly
The level of the actual value of state paid Health Insurance will be based on the employee's wage rate and status with regard to the health credit premium payment.
Maine State Government is an Equal Opportunity/Affirmative Action employer. We provide reasonable accommodations to qualified individuals with disabilities upon request.


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