SECURITIES EXAMINER I

State of Arkansas • Little Rock, AR

1d • Onsite

About The Position

The Securities Examiner I assists in evaluating securities firms, broker-dealers, and investment advisers in an attempt to ensure compliance with securities laws and regulations. This role involves supporting senior examiners by analyzing financial transactions, assessing operational practices, and identifying potential risks. The Securities Examiner I gains hands-on experience in securities regulation while contributing to the transparency and stability of financial markets.

Requirements

• A bachelor’s degree in accounting, finance, economics, business administration, or a related field.
• Coursework should include subjects such as accounting, financial markets, securities regulation, and investment analysis.
• A general understanding of financial principles and the securities industry.
• Strong analytical and problem-solving skills.
• Attention to detail and accuracy in reviewing financial data.
• Effective written and verbal communication skills for reporting findings.
• Willingness to learn and adapt in a regulatory environment.
• Ability to work both independently and as part of a team.

Responsibilities

• Assist in conducting examinations of securities firms, broker-dealers, and investment advisers under the supervision of senior examiners.
• Review and analyze financial records, investment activities, and operational practices to identify abnormalities, irregularities, or areas of concern.
• Evaluate basic compliance with securities laws, regulations, and policies.
• Support the preparation of examination reports by summarizing findings and drafting sections of the report.
• Participate in meetings with securities firm representatives to discuss findings and gather additional information.
• Stay informed about changes in securities regulations and financial industry practices through training and research.
• Collaborate with team members to enhance examination processes and ensure accurate assessments.

What This Job Offers

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