Registration and Consumer Affairs Administrator

State of Vermont•Calais, VT

3d•Hybrid

About The Position

The State of Vermont Securities Division is looking for a Registration & Consumer Affairs Administrator to focus on the review of registration applications from securities firms and affiliated individuals. The application review requires the analysis of legal and financial documents and disclosure history to determine if registration should be granted. The position requires regular interaction with securities industry partners. Additionally, the ideal candidate will collectively work with the securities division to present targeted outreach to the general public.

Requirements

Bachelor's degree AND two (2) years of experience in the financial services operations and/or compliance field including broker-dealer or investment firms.
OR
Associates degree AND four (4) years of experience in the financial services and/or compliance field including broker-dealer or investment firms.
OR
High School diploma or equivalent AND six (6) years of experience in the financial services and/or compliance field including broker-dealer or investment firms.

Nice To Haves

Knowledge and experience working in the FINRA Web CRD/IARD system.

Responsibilities

Review of registration applications from securities firms and affiliated individuals.
Analysis of legal and financial documents and disclosure history to determine if registration should be granted.
Regular interaction with securities industry partners.
Present targeted outreach to the general public in collaboration with the securities division.