Compliance Examiner

State of Kansas

395d • $60,000 - $60,000

About The Position

The Compliance Examiner position at the Kansas Department of Insurance involves conducting compliance examinations and investigating complaints related to broker-dealers and investment advisers in Kansas. The role is crucial for ensuring adherence to the Kansas Uniform Securities Act and other regulations, thereby protecting Kansas investors. The position offers opportunities for professional growth and a collaborative work environment focused on consumer protection.

Requirements

• Bachelor's degree in accounting, finance, business administration, or a closely related field.
• One year of professional experience in a regulatory environment.
• Valid driver's license and ability to pass a KBI background check.

Nice To Haves

• Experience in the securities industry.
• Certifications such as Certified Fraud Examiner, Chartered Financial Analyst, or Certified Financial Planner.
• Series 7, 63, and/or 65 licenses.
• Strong writing and communication skills.
• Proficiency in Microsoft Word, Excel, and PowerPoint.

Responsibilities

• Perform compliance examinations and conduct investigations of complaints involving broker-dealers and investment advisers.
• Review financial and operational procedures, sales practices, and compliance with Kansas registration requirements.
• Prepare reports for administrative orders and draft referrals to Securities Enforcement for follow-up investigations.
• Testify in public proceedings as necessary.
• Conduct research to answer inquiries from the public and industry members regarding securities regulations.

Benefits

• Comprehensive medical, mental, dental, and vision coverage.
• Sick and vacation leave.
• Work-life balance programs including parental leave and military leave.
• Paid state holidays.
• Employee discounts with the STAR Program.
• Retirement and deferred compensation programs.

What This Job Offers

• Job Type: Part-time
• Career Level: Entry Level
• Industry: Executive, Legislative, and Other General Government Support
• Education Level: Bachelor's degree