SECURITIES EXAMINER I
About The Position
The Securities Examiner I assists in evaluating securities firms, broker-dealers, and investment advisers to help ensure compliance with securities laws and regulations. The role supports senior examiners by analyzing financial transactions, assessing operational practices, and identifying potential risks. The position provides hands-on experience in securities regulation while contributing to the transparency and stability of financial markets. The role is with the Arkansas State Bank Department’s Examination and Training Divisions, within the Arkansas State Securities Department. The department regulates securities, non-depository mortgages, money services, state-chartered credit unions, and state-chartered savings and loan industries in Arkansas. The department’s mission includes protecting investors from fraud and preserving the integrity of Arkansas capital markets. This position requires on-site employment; remote and hybrid work are not available. Applicants must attach a copy of their college transcript to the 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.
- A 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 a college transcript to the application.
Nice To Haves
- Minimum of 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 senior examiners in conducting examinations of securities firms, broker-dealers, and investment advisers.
- 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 preparation of examination reports by summarizing findings and drafting report sections.
- 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 improve examination processes and ensure accurate assessments.
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What This Job Offers
Job Type
Full-time
Career Level
Entry Level
