Securities Examiner III
About The Position
As an Examiner for the Vermont Department of Financial Regulation, Securities Division, your primary responsibilities include examination and ongoing oversight of broker-dealer firms and state registered investment advisory firms to ensure compliance with the Vermont Uniform Securities Act and Vermont Securities Regulations. In the course of each examination, the Examiner will analyze the firm's books and records, trading practices, fee structure, and compliance policies to ensure that they comply with applicable law. Examinations are conducted both on-site and remotely. An Examiner also investigates Vermont investor complaints and processes state investment adviser registration applications. An Examiner may occasionally engage in educational outreach events on behalf of the Division. An Examiner must be self-motivated and possess strong time management, organization, critical thinking, and communication skills.
Requirements
- Licensure as Certified Public Accountant (CPA)
- OR High school diploma or equivalent or higher AND four (4) years or more of professional securities examination experience in a regulatory setting
- OR Eighteen (18) months as Securities Examiner II with satisfactory completion of Department training and performance requirements.
Nice To Haves
- Professional designation as a CPA or CFE.
Responsibilities
- Examination and ongoing oversight of broker-dealer firms and state registered investment advisory firms to ensure compliance with the Vermont Uniform Securities Act and Vermont Securities Regulations.
- Analyze the firm's books and records, trading practices, fee structure, and compliance policies to ensure that they comply with applicable law.
- Conduct examinations both on-site and remotely.
- Investigate Vermont investor complaints.
- Process state investment adviser registration applications.
- Occasionally engage in educational outreach events on behalf of the Division.
Benefits
- 80% State paid medical premium
- Dental plan at no cost for employees and their families
- 11 paid holidays each year
- Generous leave plan
- State Paid Family and Medical Leave Insurance (FMLI)
- State defined benefit pension plan
- Deferred compensation 457(b) plan
- Tuition Reimbursement
- Flexible spending healthcare reimbursement accounts
- Flexible spending childcare reimbursement accounts
- Low cost group life insurance
- Incentive-based Wellness Program
- Qualified Employer for Public Service Student Loan Forgiveness Program
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What This Job Offers
Job Type
Full-time
Career Level
Mid Level
Education Level
High school or GED
