Office Specialist (Securities Licensing)

State of Utah Office of the Governor • Salt Lake City, UT

6d • $19 - $20 • Hybrid

About The Position

The Utah Division of Securities (SEC) is looking for a detail-oriented, tech-savvy individual to join their team as a Licensing Specialist. In this vital role, you will ensure the integrity of professional standards by verifying that every license application meets specific legal requirements while providing exceptional customer service. This position involves managing complex processes with efficiency, handling confidential information with absolute care, and providing exceptional customer service. In this dynamic role, you will navigate the unique requirements within the Securities Industry, meticulously reviewing applications for Broker Dealers, Broker Dealer Agents, Investment Advisers and Issuer Agent applications. This position may be eligible for a hybrid telework schedule after the training period. The schedule is Monday-Friday, 8 a.m. to 5 p.m. in our downtown Salt Lake City office. After successful training, you may be able to telework up to three days per week.

Requirements

• The ability to train 100% in-person at our downtown Salt Lake City office for up to three months.
• 2+ years of experience in a public-facing customer service role.
• 2+ years of experience working in an office performing clerical duties.
• 2+ years of experience producing professional communications, such as letters and emails, and responding timely to written inquiries with clarity and accuracy.
• 1+ years working with Microsoft Word and Excel, and/or Google Drive, Docs, sheets.
• Must successfully pass a criminal history check.

Nice To Haves

• Experience working in the public sector (federal, state, or local government) providing customer service.
• Experience referencing laws, rules, policies, and procedures.
• Experience in properly handling confidential information.
• Working with databases and inputting or managing data, ensuring accuracy.
• Experience in the Securities Industry and/or understanding of investing principles and licensees.

Responsibilities

• Review, evaluate, and process agent and firm applications accurately and efficiently.
• Process new and renewal Certified Dealer and Certified Investment Adviser applications.
• Ensure compliance with all applicable securities laws, administrative rules, policies, and procedures.
• Respond to inquiries from the public and licensees via phone, email, and in person.
• Provide clear and concise information regarding agent licensing requirements and processes.
• Maintain a comprehensive understanding of securities licensing laws, rules, and regulations.
• Stay up-to-date on industry trends and regulatory changes.
• Accurately enter and verify data into agency software systems.
• Draft clear and concise correspondence and other documents using proper grammar, spelling, and punctuation.
• Utilize strong computer skills to efficiently and effectively complete tasks.

Benefits

• Job Stability: Enjoy the security and reliability of employment within a well-established organization.
• Career Growth: Develop valuable skills and gain opportunities for leadership within a large organization.
• Meaningful Work: Contribute to an important service that benefits the community and supports organizational goals.
• Supportive Work Environment: Be part of a team that values cooperation, strong work ethics, and mutual support.
• Compensatory time off in lieu of payment in cash for all overtime worked under the Fair Labor Standards Act (FLSA).

What This Job Offers

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