Financial Investigator/Examiner 2

State of Montana • Helena, MT

2d

About The Position

CSI Overview We protect Montanans by regulating two of the state’s largest industries- securities and insurance. Our mission is to foster a thriving marketplace through education, common sense regulation, and equitable enforcement of the law, ensuring swift accountability for fraudsters and justice for victims. Why Work with Us? The Montana State Auditor, Commissioner of Securities and Insurance (CSI), has an exciting opportunity for a full-time Financial Investigator/Examiner 2. CSI is a small agency that values unity, effective working relationships, and mutual respect. We challenge our team members to excel as individuals and as part of a supportive team. We offer wonderful mentorship, education, training, and opportunities for career growth. Did we mention the benefits? · Work/left balance · Medical, dental, and vision coverage · Retirement plans · Generous paid vacation, sick leave, and holidays · Pre- tax flexible spending accounts · A vibrant Employee Assistance Program (EAP) · State of Montana employment may qualify you to receive student loan forgiveness under the Public Service Loan Forgiveness. Look here to learn more and understand whether or not you may qualify. · Additional benefit package information available here The Securities Division is responsible for the following: · Educating Montana’s consumers and investors on securities. · Investigating securities and financial fraud. · Encouraging capital investment in Montana. · Promoting uniformity in the market through oversight of the securities industry. · Examining the securities industry for compliance with the Montana Securities Act. Position Overview: · Financial regulatory examinations of Montana- registered broker- dealer and investment adviser firms to analyze the financial condition of the firms ensuring compliance with state and federal securities regulatory requirement and helping to establish a well- regulated securities industry in Montana that encourages capital investment. The State of Montana has a decentralized human resources (HR) system. Each agency is responsible for its own recruitment and selection. Anyone who needs a reasonable accommodation in the application or hiring process should contact the agency's HR staff identified on the job listing or by dialing the Montana Relay at 711. Montana Job Service Offices also offer services including assistance with submitting an online application. State government does not discriminate based on race, color, national origin, religion, sex, sexual orientation, gender identity or expression, pregnancy, childbirth or medical conditions related to pregnancy or childbirth, age, physical or mental disability, genetic information, marital status, creed, political beliefs or affiliation, veteran status, military service, retaliation, or any other factor not related to merit and qualifications of an employee or applicant.

Requirements

• Knowledge in the concepts and theories of law enforcement; criminal investigations; ability to develop innovative approaches to investigations; conduct research and analysis; exercise wide latitude of professional independent judgement and decisions; and act persuasively in reviewing evidence and examination work papers to determine whether they satisfy the requirements governed by law.
• Skill in establishing and implementing examination procedures, work methods, and priorities, reviewing complex financial data and material; writing/editing skills to write and review comprehensive examination reports.
• Experience in database applications and Microsoft Office software, including Word, Excel, PowerPoint, Teams, and Outlook.
• Ability to analyze financial statements of broker-dealer and investment adviser firms.
• Ability to use sound judgement, examine technical data, and identify discrepancies. Strong team player with the ability to establish and maintain effective working relationships with other employees, the securities industry, and the public.
• Strong communication skills are essential, along with the ability to work efficiently and productively with little to no supervision.
• If you have knowledge of the Montana Securities Act and promulgated administrative rules there under; the federal Securities and Exchange Acts of 1933 and 1934; Investment Advisors Act of 1940; Investment Company Act of 1940; applicable Financial Industry Regulatory Authority and Securities and Exchange Commission regulations and laws; books and records requirements for broker-dealer and investment advisor firms; and the accounting theories, GAAP, and other procedures established for securities firms.
• Knowledge of economic and accounting practices, examining and auditing techniques, and analysis of financial data.
• Knowledge of blockchain technology and analytics, including digital assets, cryptocurrencies, tokens, etc.
• Bachelor’s degree in accounting, business, finance, criminal justice, or related field.
• Three (3) years of Financial Securities related or Investigative Experience.
• Other combinations of education and experience may be considered on a case-by-case basis.

Responsibilities

• Financial regulatory examinations of Montana- registered broker- dealer and investment adviser firms to analyze the financial condition of the firms ensuring compliance with state and federal securities regulatory requirement and helping to establish a well- regulated securities industry in Montana that encourages capital investment.

Benefits

• Work/left balance
• Medical, dental, and vision coverage
• Retirement plans
• Generous paid vacation, sick leave, and holidays
• Pre- tax flexible spending accounts
• A vibrant Employee Assistance Program (EAP)
• State of Montana employment may qualify you to receive student loan forgiveness under the Public Service Loan Forgiveness.

What This Job Offers

• Job Type: Full-time
• Career Level: Mid Level