Non-Depository and Securities Compliance Examiner 1
About The Position
Join the PA Department of Banking and Securities as a Non-Depository and Securities Compliance Examiner 1 and become part of a team that works to strengthen financial integrity across the Commonwealth. This position assists in identifying and making recommendations to correct deficiencies of non-depository institutions and assists in the enforcement of governing laws, regulations, and policies. If you are interested in building a strong foundation for future growth in financial regulation, this is the opportunity for you! This position focuses on learning and performing essential compliance review and investigative tasks that support the agency's mission. It involves practical training and supervised assignments that build your understanding of financial laws and regulatory processes.
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.
- Applicants will be considered to have met the educational requirements once they are within 3 months of graduating with a qualifying degree.
- You must possess and maintain a REAL ID or passport for this position.
- You must currently reside in or be willing to relocate to Dauphin, Cumberland, Lebanon, York, Lancaster, or Perry County at the time of hire.
- You must meet the PA residency requirement.
- You must be able to perform essential job functions.
Responsibilities
- Examine records, statements, and other materials to identify possible issues or violations
- Research situations referred by internal offices or external sources to understand concerns and gather facts
- Assess whether laws or regulations may have been violated and suggest appropriate corrective actions
- Review financial statements to check compliance with net worth requirements
- Search for possible unlicensed business activity using online tools and share findings with supervisors
- Update logs, case notes, and other tracking tools to support accurate documentation
Benefits
- Stable and supportive work environment
- Networking opportunities
- Tuition reimbursement
- On-the-job training
- Professional development
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What This Job Offers
Job Type
Full-time
Career Level
Entry Level
