Financial Examiner I (posting #4-25)

Texas State Securities Board • Houston, TX

398d • $53,000 - $53,000 • Remote

About The Position

The Financial Examiner I position at the Texas 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 records and documents, reviewing filings, and investigating complaints against registered entities. This entry-level position is ideal for candidates with a background in finance, accounting, or business, and it offers a comprehensive benefits package.

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/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/investment advisers.
• Investigate complaints filed against registered dealers/investment advisers.
• Complete related work as assigned by the Director of the Inspections and Compliance Division.

Benefits

• Health insurance
• Dental insurance
• 401(k)
• Flexible spending account
• Paid time off
• Parental leave
• Employee assistance program
• Vision insurance
• Life insurance

What This Job Offers

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