Examiner

Oklahoma State Government • Oklahoma City, OK

7d • $75,000

About The Position

The Examiner is responsible for conducting examinations of registered broker-dealer and investment-adviser firms and representatives to ensure compliance with the Oklahoma Uniform Securities Act of 2004.

Requirements

• Minimum education and experience requirements consist of a bachelor’s degree in business, accounting, finance, economics, or a closely related field from an accredited college or university; or equivalent combination of education substituting one (1) year of securities industry experience for each year of the required education.
• Strong interpersonal and writing skills required.
• Must have reliable transportation as some travel will be required.

Nice To Haves

• Experience with Central Registration Depository (CRD) and/or Investment Adviser Registration Depository (IARD).
• Experience working for a registered broker-dealer or investment adviser in the compliance area.
• Experience working for a securities regulator.
• Designation as a Certified Fraud Examiner.
• Experience with financial accounting or designation as a certified public accountant.

Responsibilities

• Conduct examinations of registered broker-dealers and investment advisers to ensure compliance with the Oklahoma Uniform Securities Act of 2004.
• Review and analyze financial and non-financial records obtained through the Department’s examination process.
• Draft correspondence relating to deficiencies found during examinations.
• Review enforcement related filings against registered broker-dealers and investment advisers and representatives.
• Respond to inquiries from investment advisers, broker-dealers, their counsel, and the public.

What This Job Offers

• Job Type: Full-time
• Career Level: Entry Level
• Number of Employees: 101-250 employees