SECURITIES EXAMINER I

State of Arkansas • Little Rock, AR

9d • $58,700 - $86,876 • Onsite

About The Position

The Securities Examiner I assists in evaluating securities firms, broker-dealers, investment advisers, non-depository mortgage companies and loan officers, and money services businesses to help ensure compliance with applicable financial institution laws and regulations. Working under the supervision of senior examiners, the role supports the analysis of financial transactions, operational practices, and potential risks. The position provides hands-on experience in financial institution regulation and contributes to the transparency and stability of financial markets.

The State Securities Department, a division of the Arkansas Department of Commerce, protects investors from fraud and preserves the integrity of Arkansas capital markets. The department regulates securities, non-depository mortgages, money services, state-chartered credit unions, and state-chartered savings and loan industries.

This position requires on-site employment; remote and hybrid work are not available. Applicants must attach a copy of their college transcript to their application.

Requirements

• 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.
• General understanding of financial principles and the securities industry.
• Strong analytical and problem-solving skills.
• Attention to detail and accuracy when reviewing financial data.
• Effective written and verbal communication skills for reporting findings.
• Willingness to learn and adapt in a regulatory environment.
• Ability to work independently and as part of a team.
• Attach a copy of college transcript to the application.

Nice To Haves

• At least 1–2 years of experience in finance.
• General understanding of the securities, mortgage, and money services industries.
• Proficiency with data tools, including advanced Microsoft Excel skills.
• Knowledge of cryptocurrency and basic familiarity with blockchain.
• Advanced understanding of securities products.
• Ability to analyze financial statements and perform financial analysis of accounts.
• Regulatory knowledge and familiarity with the Arkansas Securities Act.
• Ability to conduct research for investigative purposes.

Responsibilities

• Assist with licensing and/or examinations of securities firms, broker-dealers, investment advisers, non-depository mortgage companies and loan officers, and money services businesses under senior examiner supervision.
• Review and analyze financial records, investment activities, and operational practices to identify abnormalities, irregularities, or areas of concern.
• Evaluate basic compliance with financial institution laws, regulations, and policies.
• Support preparation of licensing and/or examination reports by summarizing findings and drafting report sections.
• Participate in meetings with 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 improve licensing and examination processes and ensure accurate assessments.

What This Job Offers

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