Financial Examiner I (#4-25)

State Securities Board • Houston, TX

401d • $55,116 - $116,628 • Onsite

About The Position

The Financial Examiner I position at the State Securities Board involves conducting on-site inspections of registered dealers and investment advisers to ensure compliance with the Texas Securities Act. The role requires analyzing financial documents and records, reviewing filings, investigating complaints, and performing related tasks as assigned by the Director of the Inspections and Compliance Division.

Requirements

• Graduation from an accredited college or university with major course work in accounting, business, finance, or a combination thereof.
• Strong interpersonal and writing skills required.
• Must have reliable transportation.

Nice To Haves

• Experience in securities regulation or compliance.
• Thorough knowledge of state and federal securities law.

Responsibilities

• Perform on-site inspections of registered dealers and investment advisers to ensure compliance with the Texas Securities Act.
• Analyze documents and financial records obtained from inspections to determine compliance with statutes and rules.
• Review filings made by registered dealers and investment advisers.
• Investigate complaints filed against registered dealers and investment advisers.
• Perform related work as assigned by the Director of the Inspections and Compliance Division.

What This Job Offers

• Job Type: Full-time
• Career Level: Entry Level
• Education Level: No Education Listed