Non-Depository and Securities Compliance Examiner 1

Commonwealth of Pennsylvania • *Home Headquartered, PA

4d • Remote

About The Position

The Department of Banking and Securities is seeking a Non-Depository and Securities Compliance Examiner 1 who is eager to make a difference in the financial landscape. In this entry level position, you will examine and audit broker-dealer firms and investment advisers registered in Pennsylvania to determine compliance with federal, state and other regulatory requirements and ensure investor protection. Join an agency that plays a vital role in safeguarding Pennsylvania’s financial integrity.

Requirements

• A bachelor’s degree including or supplemented by nine credits in accounting, finance, economics, or a closely related field; or An equivalent combination of experience and training that includes nine college credits in accounting, finance, economics, or a closely related field.
• Possession of a valid driver's license.
• Must possess and maintain a REAL ID or passport.
• Must meet the PA residency requirement.
• Must be able to perform essential job functions.

Responsibilities

• Examine registrant filings and background information to assess business activities and identify potential concerns
• Inspect books, records, financial documents, and operational materials to evaluate adherence to legal requirements
• Conduct interviews with registrants and principals to gather information and clarify examination issues
• Work with senior staff to develop examination plans, analyze findings, and prepare related reports and documents
• Receive, review, and process inquiries or complaints and determine when matters should be referred to other regulatory staff or agencies
• Assist with investigative tasks, including preparing subpoenas and contributing to cases that may require testimony

Benefits

• Tuition reimbursement
• On-the-job training
• Professional development

What This Job Offers

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