Examiner

Oklahoma State Government • Oklahoma City, OK

7d

About The Position

Basic Purpose 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. Typical Functions 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. Level Descriptor This position consists of three (3) levels which are distinguished based on the complexity of job assignments, the expertise required to complete assigned duties, and the responsibilities assigned to the incumbent. Level I - 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. Level II – Those requirements identified in Level I plus demonstrated knowledge of securities laws and three (3) additional years of qualifying experience. Level III – Those requirements identified in Level II plus demonstrated knowledge of securities laws and three (3) additional years of qualifying experience.

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